AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
ED

Eliot D. Duhan

Some features on this profile are disabled
CRD#: 4705354
ED

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.

Eliot Daniel Duhan was a registered financial professional .

Eliot is a previously registered financial professional and started their career in finance in 2003. Eliot had worked at 16 firms and has passed the Series 63, Series 52TO, SIE, Series 87, Series 3, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 4, 2023 - December 31, 2024

PORTSMOUTH FINANCIAL SERVICES

BD
CRD#: 13980
SAN FRANCISCO, CA
Past

July 7, 2023 - November 20, 2024

AUSDAL FINANCIAL PARTNERS, INC.

BD
CRD#: 7995
DAVENPORT, IA
Past

December 1, 2016 - February 20, 2023

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

November 20, 2013 - November 30, 2016

BOENNING & SCATTERGOOD, INC.

BD
CRD#: 100
WEST CONSHOHOCKEN, PA
Past

January 12, 2009 - November 15, 2013

SUSQUEHANNA SECURITIES, LLC

BD
CRD#: 35874
BALA CYNWYD, PA
Past

January 12, 2009 - November 15, 2013

SUSQUEHANNA INVESTMENT GROUP

BD
CRD#: 33875
BALA CYNWYD, PA
Past

January 12, 2009 - November 15, 2013

SIG BROKERAGE, LP

BD
CRD#: 100400
NEW YORK, NY
Past

January 12, 2009 - November 15, 2013

GLOBAL EXECUTION BROKERS, LP

BD
CRD#: 126407
BALA CYNWYD, PA
Past

January 9, 2009 - December 16, 2009

SUSQUEHANNA FIXED INCOME, L.P.

BD
CRD#: 103776
BALA CYNYWD, PA
Past

January 9, 2009 - January 16, 2013

RIVER CROSS SECURITES, LLLP

BD
CRD#: 141919
BALA CYNWYD, PA
Past

January 9, 2009 - November 15, 2013

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA
Past

August 1, 2005 - April 6, 2006

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA
Past

April 18, 2005 - March 31, 2006

RIVER SECURITIES, LLC

BD
CRD#: 134152
NEW YORK, NY
Past

April 1, 2005 - April 6, 2006

SIG SPECIALISTS, INC.

BD
CRD#: 21831
NEW YORK, NY
Past

April 1, 2005 - April 6, 2006

SIG INDEX SPECIALISTS, LLC

BD
CRD#: 120014
NEW YORK, NY
Past

April 1, 2005 - April 6, 2006

SIG BROKERAGE, LP

BD
CRD#: 100400
NEW YORK, NY
Past

March 24, 2005 - April 6, 2006

SUSQUEHANNA FIXED INCOME, L.P.

BD
CRD#: 103776
BALA CYNWYD, PA
Past

March 24, 2005 - November 15, 2013

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA
Past

November 5, 2003 - February 18, 2005

SOVEREIGN SECURITIES CORPORATION, LLC

BD
CRD#: 112638
PHILADELPHIA, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/30/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 1/17/2014
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 3
Date: 8/4/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/6/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/30/2014
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/31/2005
General Securities Principal Examination

Current Firm

PF
PORTSMOUTH FINANCIAL SERVICES
PORTSMOUTH FINANCIAL SERVICES | PORTSMOUTH-SMARTLIFE FINANCIAL GROUP, LLC | PORTSMOUTH FINANCIAL SERVICES, INC.

CRD#: 13980 / SEC#: , 8-30097

BD
Terminated by SEC on 02/18/2025
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
601 Montgomery Street Suite 1950, San Francisco, CA 94111
Mailing Address
Phone number
(415) 543-8500
Established
California since 07/06/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
5

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CHIEN, ECHO CHIAPINGCHIEF EXECUTIVE OFFICER2750051
LENT, RAYMOND LAWRENCECHAIRMAN OF THE BOARD817645
DUHAN, ELIOT DANIELCCO4705354

Regulatory assets under management

Total Number of Accounts31
AUM (Assets Under Management)$ 3,671,748

Disclosures

Regulatory Event4

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

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

TRUST BUT VERIFY

Monitor Eliot Duhan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.