James R. 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.
James Raymond Duffy JR, who also goes by James Raymond Duffy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2023 - June 12, 2024
RETIREWELL PLANS
June 30, 2021 - August 28, 2023
PRINCIPAL SECURITIES, INC.
September 18, 2007 - August 28, 2023
PRINCIPAL SECURITIES, INC.
February 16, 2001 - July 28, 2008
OBSIDIAN FINANCIAL GROUP, LLC
July 13, 1999 - April 24, 2001
THE INVESTMENT CENTER, INC.
August 4, 1998 - July 13, 1999
WALL STREET FINANCIAL GROUP, INC.
August 23, 1997 - February 11, 1998
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 14, 1997 - August 27, 1997
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RETIREWELL PLANS
CRD#: 327320 / SEC#: 801-128352
Contact information
Regulatory assets under management
| Total Number of Accounts | 207 |
| AUM (Assets Under Management) | $ 34,306,646 |
Red Flags
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