Deborah A. 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.
Deborah Ann Duffy, who also goes by Deborah Duffy Camuso, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1995. Deborah had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2010 - November 11, 2014
KESTRA INVESTMENT SERVICES, LLC
October 21, 2005 - October 16, 2008
QA3 FINANCIAL CORP.
December 2, 2004 - September 22, 2005
M HOLDINGS SECURITIES, INC.
August 9, 2004 - December 6, 2004
1717 CAPITAL MANAGEMENT COMPANY
June 3, 1998 - October 21, 2002
CETERA WEALTH SERVICES, LLC
March 4, 1998 - May 13, 1998
VOYA FINANCIAL ADVISORS, INC.
February 29, 1996 - February 27, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 29, 1996 - February 27, 1998
EQUITABLE ADVISORS, LLC
February 28, 1996 - February 27, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 28, 1996 - February 27, 1998
EQUITABLE ADVISORS, LLC
January 3, 1995 - December 31, 1995
RAYMOND JAMES FINANCIAL SERVICES, INC.
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
