John Denis Duffy
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John D. Duffy, John Duffy
Similar Advisors
PFS INVESTMENTS INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
PFS INVESTMENTS INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
PFS INVESTMENTS INC.
Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
PFS INVESTMENTS INC.
Current Firm
INTENT ADVICE, INC. | STEADFAST PLANNING PARTNERS INC.
Contact Information
Main Address
106 Lafayette Street, Suite 3 Lower Falls Landing, Yarmouth, ME 04096-6125Mailing Address
P.o. Box 1336, Yarmouth, ME 04096-2336Phone Number
(207) 550-7174# of Employees
1Documents
Similar Advisors
PFS INVESTMENTS INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
PFS INVESTMENTS INC.
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1997About the Series 6 examSimilar Advisors
PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - RIA
Click below to view John Denis Duffy's CRS (Customer Relationship Summary).
Similar Advisors
PFS INVESTMENTS INC.