Alexander M. Duffee
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.
Alexander Macy Duffee, who also goes by Alex Duffee, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2004. Alexander had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
February 20, 2015 - June 21, 2016
MORGAN STANLEY DISTRIBUTION, INC.
July 2, 2013 - November 26, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 2, 2013 - November 26, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 6, 2013 - June 28, 2013
PELION INVESTMENT ADVISORS, INC.
October 26, 2012 - December 21, 2012
PELION INVESTMENT ADVISORS, INC.
October 22, 2012 - June 28, 2013
FIRST LIBERTIES FINANCIAL
May 12, 2011 - October 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2011 - October 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 2004 - February 22, 2010
PALI CAPITAL, INC.
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
MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
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.
