Gregory B. Duffy
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.
Gregory Brian Duffy was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2002. Gregory had worked at 3 firms and has passed the Series 66 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
July 7, 2017 - February 10, 2022
SAX WEALTH ADVISORS, LLC
October 30, 2002 - December 1, 2006
STERLING PORTFOLIO MANAGEMENT, LLC
January 28, 2002 - April 30, 2002
TRUSTED SECURITIES ADVISORS CORP.
Primary Firm SEC Registration
SAX WEALTH ADVISORS, LLC
CRD#: 119193 / SEC#: 801-68788
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
SAX WEALTH ADVISORS, LLC
CRD#: 119193 / SEC#: 801-68788
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,685 |
| AUM (Assets Under Management) | $ 2,440,851,802 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2025 | ||
| 12/11/2024 | ||
| 01/23/2024 | ||
| 02/21/2023 |
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.
