Michael R. Duff
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.
Michael Roy Duff was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 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
Experience
December 2, 2015 - February 16, 2016
FELTL ADVISORS
November 12, 2015 - January 28, 2016
FELTL & COMPANY
November 28, 2008 - November 19, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 2008 - November 19, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2003 - December 15, 2008
CITIGROUP GLOBAL MARKETS INC.
October 20, 1998 - October 15, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
FELTL ADVISORS
CRD#: 165244 / SEC#: 801-77347
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
FELTL ADVISORS
CRD#: 165244 / SEC#: 801-77347
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 132,417,421 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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