Kevin G. 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.
Kevin Gerard Duffy, CFP® was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1997. Kevin had worked at 10 firms and has passed the Series 66, 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
Start date: 2012
Experience
October 15, 2014 - October 14, 2015
EQUITY SERVICES, INC.
October 14, 2014 - October 14, 2015
EQUITY SERVICES, INC.
August 15, 2012 - September 4, 2014
NEXT FINANCIAL GROUP, INC.
August 15, 2012 - September 4, 2014
NEXT FINANCIAL GROUP, INC.
November 17, 2010 - August 16, 2012
SIGNATOR FINANCIAL SERVICES, INC.
November 17, 2010 - August 16, 2012
SIGNATOR FINANCIAL SERVICES, INC.
September 12, 2008 - December 3, 2010
GROVE POINT INVESTMENTS, LLC
September 12, 2008 - December 3, 2010
GROVE POINT INVESTMENTS, LLC
August 4, 2006 - September 10, 2008
GUNNALLEN FINANCIAL, INC
August 4, 2006 - September 10, 2008
GUNNALLEN FINANCIAL, INC
February 11, 2005 - August 9, 2006
SII INVESTMENTS, INC.
February 11, 2005 - August 9, 2006
SII INVESTMENTS, INC.
October 13, 2003 - February 15, 2005
THE INVESTMENT CENTER, INC.
October 13, 2003 - February 15, 2005
THE INVESTMENT CENTER, INC.
July 29, 2002 - November 3, 2003
VERAVEST INVESTMENT ADVISORS, INC.
July 18, 2000 - October 21, 2003
VERAVEST INVESTMENTS, INC.
January 23, 1997 - June 14, 2000
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
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
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 1 |
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.
