Jacob A. Duffy
EXCELSIOR ADVISOR NETWORK | Managing Director and Financial Advisor
SCOTTSDALE, AZ 85254
Some features on this profile are disabled
CRD#: 4201708
Professional summary
Jacob Andrew Duffy is a registered financial advisor currently at EXCELSIOR ADVISOR NETWORK LLC located in Scottsdale, Arizona and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jacob has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Biography
Jacob is a Managing Director and Financial Advisor for the Duffy Group. Joining Baird in 2010, he brings 15 years of investment and portfolio management expertise on behalf of his clients.
Ever since Jacob was a teenager he has taken a keen interest in investing, talking business and stocks at the dinner table with his father, a financial advisor that’s been in the business most of his life. Jacob graduated from Washington State University in 2000, majoring in Finance and Insurance Risk Management. In 2001, he began his career in Pittsburgh, Pennsylvania at Federated Investors. Jacob moved to Scottsdale later that year and has remained there ever since. After Federated, Jacob spent much of his career at Smith Barney before moving to Baird in March 2010.
Jacob joined the Scottsdale Sunrise Rotary in 2015 and was elected President of the group in 2018. He also supports charitable organizations like the Children in Need Foundation, Support Arizona Youth, the Care Fund and the Injured Marine Fund. Jacob has been married to his wife Leslie for over 12 years and has a 3 year old son and 1 year old daughter. When Jake is not working or spending time with his family, he enjoys climbing Camelback Mountain and playing golf.
Question & Answer
What are your service offerings?
Insurance
Philanthropic services
Trading individual securities
Executive services/Equity comp...
Financial planning
Institutional consulting
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
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.
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Andrew 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
April 23, 2026 - Present
EXCELSIOR ADVISOR NETWORK LLC
Office #1: 14624 Scottsdale Suite 195, Scottsdale, AZ 85254RIA
CRD#: 334779
SCOTTSDALE, AZ
Current
April 23, 2026 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
March 31, 2016 - April 28, 2026
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
Scottsdale, AZ
Past
March 12, 2010 - April 28, 2026
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
Scottsdale, AZ
Past
June 1, 2009 - April 8, 2010
MORGAN STANLEY
BD
CRD#: 149777
SCOTTSDALE, AZ
Past
May 20, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SCOTTSDALE, AZ
Past
October 16, 2003 - May 24, 2005
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
February 1, 2001 - October 16, 2003
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
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".
EA
EXCELSIOR ADVISOR NETWORK LLC
BV PRIVATE WEALTH | VISTA WEALTH MANAGEMENT OF SCOTTSDALE, LLC | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT
CRD#: 334779 / SEC#: 801-132014
RIA
Registered Investment Advisory firm - (3/4/2025 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(4/23/2026)
RR
Alaska(4/23/2026)
RR
Arizona(4/23/2026)
IAR
Arizona(4/23/2026)
RR
Arkansas(4/23/2026)
RR
California(4/23/2026)
RR
Colorado(4/23/2026)
RR
Florida(4/23/2026)
RR
Georgia(4/23/2026)
RR
Hawaii(4/23/2026)
RR
Idaho(4/23/2026)
RR
Illinois(4/23/2026)
RR
Indiana(4/23/2026)
RR
Kansas(4/23/2026)
RR
Kentucky(4/23/2026)
RR
Louisiana(4/23/2026)
RR
Maine(4/23/2026)
RR
Maryland(4/23/2026)
RR
Michigan(4/23/2026)
RR
Minnesota(4/23/2026)
RR
Mississippi(4/23/2026)
RR
Missouri(4/23/2026)
RR
Nevada(4/23/2026)
RR
New Mexico(4/23/2026)
RR
New York(4/23/2026)
RR
North Carolina(4/23/2026)
RR
Ohio(4/23/2026)
RR
Oregon(4/23/2026)
RR
Pennsylvania(4/23/2026)
RR
South Carolina(4/23/2026)
RR
Tennessee(4/23/2026)
RR
Texas(4/23/2026)
RR
Utah(4/23/2026)
RR
Vermont(4/23/2026)
RR
Virginia(4/23/2026)
RR
Washington(4/23/2026)
RR
West Virginia(4/23/2026)
RR
Wisconsin(4/23/2026)
RR
Wyoming(4/23/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EA
EXCELSIOR ADVISOR NETWORK LLC
BV PRIVATE WEALTH | VISTA WEALTH MANAGEMENT OF SCOTTSDALE, LLC | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT
CRD#: 334779 / SEC#: 801-132014
RIA
Registered Investment Advisory firm - (3/4/2025 Approved)PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Denver, CO
Mailing Address
Po Box 6195, Denver, CO 80206
Phone number
(303) 351-6436
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 78 |
| AUM (Assets Under Management) | $ 150,007,226 |
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.
Company Information
EXCELSIOR ADVISOR NETWORK LLC
Managing Director and Financial AdvisorCRD#: 334779Scottsdale, AZ 85254TRUST BUT VERIFY
Monitor Jacob Duffy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
