John D. Duffy

INTENT ADVICE

Yarmouth, ME 04096-6125

Some features on this profile are disabled

CRD#: 2715123

Professional summary

John Denis Duffy, who also goes by John D. Duffy, John Duffy, is a registered financial advisor currently at INTENT ADVICE, INC. located in Yarmouth, Maine.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. John has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John D. Duffy | John 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) - RIA

Click below to view John Denis 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

April 25, 2024 - Present

INTENT ADVICE, INC.

Office #1: 106 Lafayette Street, Suite 3 Lower Falls Landing, Yarmouth, ME 04096-6125

RIA

CRD#: 322060

Yarmouth, ME

Past

September 23, 2022 - December 31, 2023

INTENT ADVICE, INC.

RIA

CRD#: 322060

YARMOUTH, ME

Past

September 10, 2019 - November 10, 2021

BROAD COVE CAPITAL

RIA

CRD#: 305393

CUMBERLAND FORESIDE, ME

Past

May 7, 2015 - August 15, 2019

CRIBSTONE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 174974

CUMBERLAND FORESIDE, ME

Past

May 4, 2015 - August 13, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Cumberland Foreside, ME

Past

October 10, 2008 - May 14, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

CUMBERLAND FORESIDE, ME

Past

October 10, 2008 - May 14, 2015

LPL FINANCIAL LLC

CRD#: 6413

CUMBERLAND FORESIDE, ME

Past

January 1, 2008 - October 30, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PORTLAND, ME

Past

January 1, 2008 - October 30, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PORTLAND, ME

Past

August 22, 2002 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

PORTLAND, ME

Past

June 7, 2002 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

PORTLAND, ME

Past

July 9, 1998 - April 10, 2002

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

July 18, 1997 - July 2, 1998

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

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

Maine
(4/25/2024)

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

IAR

Series 66

Date: 8/3/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/3/1997

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: 6/6/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/17/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INTENT ADVICE, INC.

INTENT ADVICE, INC. | STEADFAST PLANNING PARTNERS INC.

CRD#: 322060 / SEC#:

Maine

Registered Investment Advisory firm - (4/25/2024 Approved)

Oklahoma

Registered Investment Advisory firm - (12/31/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

106 Lafayette Street, Suite 3 Lower Falls Landing, Yarmouth, ME 04096-6125

Mailing Address

P.o. Box 1336, Yarmouth, ME 04096-2336

Phone number

(207) 550-7174

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Diana London

PFS INVESTMENTS INC.

IAR

Windham, ME

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John D. Duffy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Denis Duffy's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTENT ADVICE, INC.

BROAD COVE CAPITAL

CRIBSTONE CAPITAL MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MFS FUND DISTRIBUTORS, INC.

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2002

Series 63

Date: 10/3/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/6/2002

Series 6

Date: 7/17/1997

Current Firm

INTENT ADVICE, INC.

Contact information

Documents

Red Flags

Company Information

INTENT ADVICE, INC.

TRUST BUT VERIFY

Similar Advisors