William P. Duff
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.
William Paul Duff, who also goes by William Duff, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2018. William had worked at 2 firms and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2022 - February 29, 2024
VERITAS FINANCIAL CONSULTING LLC
June 12, 2018 - April 20, 2019
DUFF FINANCIAL ADVISORY SERVICES
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
Series 2
Date: 11/8/1993
Non-Member General Securities ExaminationCurrent Firm
VERITAS FINANCIAL CONSULTING LLC
CRD#: 314363 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 200 |
| AUM (Assets Under Management) | $ 74,224,719 |
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.
