TD
Thomas P. Duffy
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
New Haven, CT 06510
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CRD#: 3266302
TD
Professional summary
Thomas Patrick Duffy is a registered financial advisor currently at KNIGHTS OF COLUMBUS ASSET ADVISORS LLC located in New Haven, Connecticut and VIGILANT DISTRIBUTORS, LLC located in New Haven, Connecticut.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.
1) Vigilant Distributors; 223 Wilmington West Chester Pike #216, Chadds Ford, PA 19317; Investment Related; Registered Representative; Started 01/2021; Less than 5 hours a month. 2) St. George Parish Knights of Columbus Council 3928; Guilford, CT; non investment related; Began 7/01/2023; Member; 1 hour per month; zero hours during securities trading hours. 3) Knights of Columbus Charitable Fund; Investment Related; Philanthropic; New Haven, CT; Started 02/2020; Director of Marketing; Sales, marketing, client service support for donor advised funds; 5 hours per month. 4) Knights of Columbus Insurance; Vice President; Non-Investment Related; Started 08/2015; 80 hours monthly; New Haven, CT. 5) St. George Parish; Guilford, CT; non investment related; Began 6/19/2018; Position: Finance Council member; Began 1/1/2022; Position: Trustee; 2 hours a month; Review and vote on material administrative decisions for the parish; attest to procedures that were used to make material administrative decisions and provide advice and counsel on parish matters.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Patrick 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®
NoneExperience
Current
March 12, 2021 - Present
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
Office #1: One Columbus Plaza, New Haven, CT 06510RIA
CRD#: 174129
New Haven, CT
Current
January 6, 2021 - Present
VIGILANT DISTRIBUTORS, LLC
Office #1: 1 Columbus Plaza, New Haven, CT 06510BD
CRD#: 285573
New Haven, CT
Past
March 1, 2016 - December 31, 2020
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
New Haven, CT
Past
September 5, 2001 - October 22, 2003
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
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".
KO
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
BOSTON ADVISORS | KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
CRD#: 174129 / SEC#: 801-80844
RIA
Registered Investment Advisory firm - (1/23/2015 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.RR
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
RR
Alabama(1/6/2021)
IAR
Alabama(7/13/2022)
RR
Alaska(1/6/2021)
RR
Arizona(1/6/2021)
IAR
Arizona(7/26/2022)
IAR
Arkansas(7/13/2022)
RR
California(1/6/2021)
IAR
California(7/13/2022)
RR
Colorado(1/6/2021)
IAR
Colorado(7/13/2022)
RR
Connecticut(1/6/2021)
IAR
Connecticut(3/15/2021)
RR
Delaware(1/6/2021)
IAR
Delaware(7/13/2022)
RR
District of Columbia(1/6/2021)
IAR
District of Columbia(10/17/2022)
RR
Florida(1/6/2021)
RR
Georgia(1/6/2021)
IAR
Georgia(7/19/2022)
RR
Hawaii(1/6/2021)
IAR
Hawaii(7/13/2022)
RR
Idaho(1/6/2021)
IAR
Idaho(7/13/2022)
RR
Illinois(1/6/2021)
IAR
Illinois(7/13/2022)
RR
Indiana(1/6/2021)
IAR
Indiana(7/13/2022)
RR
Iowa(1/6/2021)
IAR
Iowa(7/13/2022)
RR
Kansas(1/6/2021)
IAR
Kansas(7/13/2022)
RR
Kentucky(1/6/2021)
IAR
Kentucky(7/13/2022)
RR
Louisiana(1/6/2021)
IAR
Louisiana(7/13/2022)
RR
Maine(1/6/2021)
IAR
Maine(7/13/2022)
RR
Maryland(1/6/2021)
IAR
Maryland(7/13/2022)
IAR
Massachusetts(11/17/2022)
RR
Michigan(1/6/2021)
IAR
Michigan(7/13/2022)
RR
Minnesota(1/6/2021)
IAR
Minnesota(7/13/2022)
RR
Mississippi(1/6/2021)
IAR
Mississippi(7/13/2022)
RR
Missouri(1/6/2021)
RR
Montana(1/6/2021)
IAR
Montana(7/13/2022)
RR
Nebraska(1/6/2021)
IAR
Nebraska(7/14/2022)
RR
Nevada(1/6/2021)
IAR
Nevada(7/22/2022)
RR
New Hampshire(1/6/2021)
IAR
New Hampshire(7/13/2022)
RR
New Jersey(1/6/2021)
IAR
New Jersey(7/13/2022)
RR
New Mexico(1/6/2021)
IAR
New Mexico(7/14/2022)
RR
New York(1/6/2021)
IAR
New York(7/13/2022)
RR
North Carolina(1/6/2021)
IAR
North Carolina(7/13/2022)
RR
North Dakota(1/6/2021)
IAR
North Dakota(7/19/2022)
RR
Ohio(1/6/2021)
IAR
Ohio(7/13/2022)
RR
Oklahoma(1/6/2021)
IAR
Oklahoma(7/13/2022)
IAR
Oregon(7/13/2022)
RR
Pennsylvania(1/6/2021)
IAR
Pennsylvania(7/13/2022)
RR
Rhode Island(1/6/2021)
RR
South Carolina(1/6/2021)
IAR
South Carolina(7/13/2022)
RR
South Dakota(1/6/2021)
RR
Tennessee(1/6/2021)
RR
Texas(1/6/2021)
IAR
Texas(7/13/2022)
RR
Utah(1/6/2021)
IAR
Utah(7/14/2022)
RR
Vermont(1/6/2021)
IAR
Vermont(7/14/2022)
RR
Virginia(1/6/2021)
IAR
Virginia(7/13/2022)
RR
Washington(1/6/2021)
IAR
Washington(7/13/2022)
RR
West Virginia(1/6/2021)
IAR
West Virginia(7/19/2022)
RR
Wisconsin(1/6/2021)
IAR
Wisconsin(7/13/2022)
RR
Wyoming(1/6/2021)
IAR
Wyoming(7/13/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KO
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
BOSTON ADVISORS | KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
CRD#: 174129 / SEC#: 801-80844
RIA
Registered Investment Advisory firm - (1/23/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Columbus Plaza, New Haven, CT 06510
Mailing Address
Phone number
(203) 752-4502
Established
Firm type
Fiscal year end
# of Employees
226
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,592 |
| AUM (Assets Under Management) | $ 28,035,873,347 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
CRD#: 174129New Haven, CT 06510TRUST BUT VERIFY
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