CD
Christopher M. Duffy
CAPITAL ANALYSTS
Braintree, MA 02184
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CRD#: 4141081
CD
Professional summary
Christopher Michael Duffy, CFP® is a registered financial advisor currently at CAPITAL ANALYSTS located in Braintree, Massachusetts and LINCOLN INVESTMENT located in Braintree, Massachusetts.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 3 firms and has passed the Series 66, 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.
CAPITAL ANALYSTS OF NEW ENGLAND, INC. POSITION: LIFE INSURANCE AGENT. NATURE: LIFE INSURANCE AGENT APPOINTED WITH VARIOUS COMPANIES INVESTMENT RELATED: YES NUMBER OF HOURS: 90 INVESTMENT RELATED HOURS: 90 START DATE: 02/28/2000 ADDRESS: 1266 FURNACE BROOK PARKWAY, SUITE 300, QUINCY MA 02169 DESCRIPTION: LIFE INSURANCE SALES. SOUTH SHORE HOSPITAL CHARITABLE FOUNDATION POSITION: FOUNDATION BOARD OF TRUSTEES, VICE CHAIR PLANNED GIVING NATURE: CHARITABLE FOUNDATION INVESTMENT RELATED: NO NUMBER OF HOURS: 4 INVESTMENT RELATED HOURS: 2 START DATE: 09/01/2010 ADDRESS: 55 FORBES ROAD, SOUTH WEYMOUTH MA 02190 DESCRIPTION: HELP THE FOUNDATION RAISE MONEY FOR THE SOUTH SHORE HOSPITAL CAPITAL ANALYSTS OF NEW ENGLAND, INC. POSITION: PRESIDENT NATURE: WEALTH MANAGEMENT FIRM INVESTMENT RELATED: YES NUMBER OF HOURS: 80 INVESTMENT RELATED HOURS: 80 START DATE: 01/01/2009 ADDRESS: 1266 FURNACE BROOK PARKWAY, SUITE 300, QUINCY MA 02169 DESCRIPTION: AS PRESIDENT I AM RESPONSIBLE FOR MANAGING THEFIRM.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Michael 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®
Experience
Current
June 12, 2012 - Present
CAPITAL ANALYSTS
Office #1: 35 Braintree Hill Office Park Suite 102, Braintree, MA 02184RIA
CRD#: 162200
Braintree, MA
Current
June 1, 2012 - Present
LINCOLN INVESTMENT
Office #1: 35 Braintree Hill Office Park Suite 400 & 405, Braintree, MA 02184RIA
BD
CRD#: 519
Braintree, MA
Past
June 15, 2000 - June 1, 2012
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
QUINCY, MA
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".
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
Registered Investment Advisory firm - (4/17/2012 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
Massachusetts(6/1/2012)
IAR
Massachusetts(6/12/2012)
RR
New Hampshire(6/1/2012)
RR
New York(6/1/2012)
RR
Pennsylvania(1/3/2022)
RR
Vermont(8/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
Registered Investment Advisory firm - (4/17/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
Phone number
(800) 242-1421
Established
Firm type
Fiscal year end
# of Employees
739
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
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Company Information
CAPITAL ANALYSTS
CRD#: 162200Braintree, MA 02184TRUST BUT VERIFY
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