John B. Duffy

KELLOGG ASSET MANAGEMENT

Green Bay, WI 54301

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CRD#: 2940343

Professional summary

John Boyden Duffy is a registered financial advisor currently at KELLOGG ASSET MANAGEMENT, LLC located in Green Bay, Wisconsin and ASSOCIATED INVESTMENT SERVICES, INC. located in Madison, Wisconsin.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

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 John Boyden 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

January 28, 2010 - Present

KELLOGG ASSET MANAGEMENT, LLC

Office #1: 200 North Adams Street, Green Bay, WI 54301

RIA

CRD#: 150031

Green Bay, WI

Current

October 9, 2006 - Present

ASSOCIATED INVESTMENT SERVICES, INC.

Office #1: 7722 Mineral Point Rd., Madison, WI 53717

RIA

CRD#: 1464

Madison, WI

Past

June 30, 2004 - November 3, 2004

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

July 24, 2000 - July 1, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KELLOGG ASSET MANAGEMENT, LLC

CRD#: 150031 / SEC#: 801-70113

RIA

Registered Investment Advisory firm - (5/11/2009 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Wisconsin
(10/9/2006)

IAR

Wisconsin
(1/28/2010)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/4/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/21/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/10/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/21/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KELLOGG ASSET MANAGEMENT, LLC

CRD#: 150031 / SEC#: 801-70113

RIA

Registered Investment Advisory firm - (5/11/2009 Approved)

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Contact information

Main Address

200 North Adams Street, Green Bay, WI 54301

Mailing Address

Phone number

(800) 236-5215

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

KELLOGG ASSET MANAGEMENT FORM ADV PART 2 - 03/19/2025 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	108
AUM (Assets Under Management)	$ 2,651,598,328

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/15/2025	Cover Page	Report
09/26/2024	Cover Page	Report
08/21/2023	Cover Page	Report
10/19/2022	Cover Page	Report

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.

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John B. Duffy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ASSOCIATED INVESTMENT SERVICES, INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

KELLOGG ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/4/2000

Series 65

Date: 8/21/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/10/2004

Series 6

Date: 7/21/2000

FINRA

Current Firm

KELLOGG ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KELLOGG ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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