Thomas J. Duffy

JERSEY SHORE FINANCIAL ADVISORS LLC

Red Bank, NJ 07701

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CRD#: 2552103

Professional summary

Thomas Joseph Duffy, CFP® is a registered financial advisor currently at JERSEY SHORE FINANCIAL ADVISORS LLC located in Red Bank, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Thomas has worked at 5 firms and has passed the Series 63 and Series 6 exams.

Biography

Tom is an adjunct instructor in the Christos Cotsakos School of Business at William Paterson University where he teaches Financial Well Being to freshmanyear undergrads as well as Insurance and Risk Management to upper classmen in the undergraduate financial planning program. 
                
                NAPFA Start Date
                February 25, 2011
            
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Question & Answer

What are your service offerings?

Investment Planning

Long-term Care

Insurance Planning

Social Security Planning

Elder Care

Health Care

Estate Planning

Comprehensive Financial Planni...

Tax Planning

Retirement Planning

Inheritance

Do you have an area of expertise or specialization?

Charitable Giving

Fixed Fee (Subscription, Retai...

Women's Financial Planning Iss...

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Thomas 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®

CFP^®

Certified Financial Planner

Start date: 1996

Experience

Current

June 26, 2007 - Present

JERSEY SHORE FINANCIAL ADVISORS LLC

Office #1: 140 Broad Street Suite 100, Red Bank, NJ 07701

RIA

CRD#: 143748

Red Bank, NJ

Past

August 15, 2006 - April 17, 2007

WBI INVESTMENTS, LLC

RIA

CRD#: 106336

LITTLE SILVER, NJ

Past

January 1, 2004 - December 31, 2004

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

November 7, 1997 - January 1, 2004

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

January 26, 1996 - November 25, 1997

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

November 10, 1994 - December 31, 1995

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(6/26/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/9/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JERSEY SHORE FINANCIAL ADVISORS LLC

CRD#: 143748 / SEC#:

New Jersey

Registered Investment Advisory firm - (6/26/2007 Approved)

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Contact information

Main Address

55 Gilbert Street N Suite 3103, Tinton Falls, NJ 07724

Mailing Address

Phone number

(732) 229-7489

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	141
AUM (Assets Under Management)	$ 29,719,855

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.

Contact information

(xxx) xxx-xxxx

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Thomas J. Duffy

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

JERSEY SHORE FINANCIAL ADVISORS LLC

WBI INVESTMENTS, LLC

CETERA ADVISORS LLC

IFG NETWORK SECURITIES, INC.

OSAIC FS, INC.

OSAIC FS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/1/1995

Series 6

Date: 11/9/1994

Current Firm

JERSEY SHORE FINANCIAL ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JERSEY SHORE FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

Contact information

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