James B. Duffy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Bradford Duffy, who also goes by Brad Duffy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 24 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2024 - July 9, 2026
FORESIDE FUND SERVICES, LLC
September 10, 2023 - January 2, 2024
PROTA FINANCIAL
February 9, 2023 - January 2, 2024
ALT FUND DISTRIBUTORS LLC
February 2, 2023 - February 7, 2023
FRONTIER SECURITIES
October 25, 2022 - February 1, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
November 7, 2017 - September 19, 2022
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
January 18, 2017 - November 6, 2017
NEXPOINT SECURITIES, INC.
March 18, 2014 - September 26, 2016
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
December 17, 2012 - November 15, 2013
CALAMOS ADVISORS LLC
March 5, 2010 - December 12, 2012
CALAMOS WEALTH MANAGEMENT LLC
March 5, 2010 - November 15, 2013
CALAMOS FINANCIAL SERVICES LLC
October 1, 2009 - February 18, 2010
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
January 2, 2009 - February 18, 2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
December 1, 2006 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
December 17, 2003 - December 31, 2006
IDS LIFE INSURANCE COMPANY
December 17, 2003 - January 24, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
August 22, 2003 - December 11, 2003
CITIGROUP GLOBAL MARKETS INC.
December 12, 2000 - July 8, 2003
INVESCO DISTRIBUTORS, INC.
April 4, 2000 - December 18, 2000
LORD ABBETT DISTRIBUTOR LLC
September 9, 1997 - March 27, 2000
MOMENTUM INDEPENDENT NETWORK INC.
May 1, 1997 - July 21, 1997
GRIFFIN FINANCIAL SERVICES
August 19, 1996 - April 30, 1997
WELLS FARGO SECURITIES INC.
February 15, 1996 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
January 26, 1994 - February 15, 1996
AVANTAX INVESTMENT SERVICES, INC.
August 18, 1993 - January 28, 1994
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
