Brian J. Duffy

NORTHERN LIGHTS DISTRIBUTORS

Elkhorn, NE 68022

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CRD#: 2473629

Professional summary

Brian Joseph Duffy, who also goes by Brian J Duffy, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian J Duffy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Joseph Duffy's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 13, 2024 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

CRD#: 126159

Elkhorn, NE

Past

July 14, 2020 - February 9, 2024

SEALY INVESTMENT SECURITIES, LLC

CRD#: 300691

DALLAS, TX

Past

December 18, 2019 - May 8, 2020

SELECT CAPITAL CORPORATION

CRD#: 145997

SAN JUAN CAPISTRANO, CA

Past

January 3, 2019 - December 12, 2019

S2K FINANCIAL LLC

CRD#: 248786

ORLANDO, FL

Past

June 6, 2011 - October 18, 2018

STIRA CAPITAL MARKETS GROUP, LLC

CRD#: 141277

IRVINE, CA

Past

November 1, 2010 - May 9, 2011

PARK AVENUE SECURITIES LLC

CRD#: 46173

HOUSTON, TX

Past

October 5, 2004 - October 1, 2010

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

November 20, 1995 - October 4, 2004

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

December 9, 1994 - May 16, 1995

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/13/2024)

Nebraska
(5/13/2024)

Texas
(5/13/2024)

Exams

State Security Law Exam

Series 63

Date: 1/24/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/8/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NORTHERN LIGHTS DISTRIBUTORS, LLC

AQUARIUS FUND DISTRIBUTORS, INC. | NORTHERN LIGHTS DISTRIBUTORS, LLC | AQUARIUS FUND DISTRIBUTORS, LLC

CRD#: 126159 / SEC#: , 8-65857

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

Mailing Address

4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

Phone number

(855) 891-0091

Established

Nebraska since 12/31/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
THE ULTIMUS GROUP MIDCO, LLC	SOLE MEMBER
EVANS, GREGORY ASHTON	FINANCIAL OPERATIONS PRINCIPAL	4850219
GUERETTE, KEVIN	PRESIDENT	2960114
JAMES, DAVID KENNETH	MANAGER	6998721
PRESTON, STEPHEN LYNN	CHIEF COMPLIANCE OFFICER/AML OFFICER	2217795
STRAIT, WILLIAM JOHN	SECRETARY/GENERAL COUNSEL/MANAGER	6123015

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Brian J. Duffy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Joseph Duffy's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEALY INVESTMENT SECURITIES, LLC

SELECT CAPITAL CORPORATION

S2K FINANCIAL LLC

STIRA CAPITAL MARKETS GROUP, LLC

PARK AVENUE SECURITIES LLC

EQUITABLE DISTRIBUTORS, LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 1/24/1995

SIE

Date: 10/1/2018

Series 7

Date: 4/26/2011

Series 6

Date: 12/8/1994

FINRA

Current Firm

NORTHERN LIGHTS DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NORTHERN LIGHTS DISTRIBUTORS, LLC

TRUST BUT VERIFY

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