BD
Brian T. Duffy
ALLSTATE FINANCIAL ADVISORS
Eatontown, NJ 07724-1273
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CRD#: 4982773
BD
Professional summary
Brian Thomas Duffy, who also goes by Brian T Duffy, Brian Duffy, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Eatontown, New Jersey and ALLSTATE FINANCIAL SERVICES, LLC located in Eatontown, New Jersey.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Brian has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian T Duffy | Brian Duffy
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.
KBD ADVISORS LLC POSITION: Managing member NATURE: I formed an LLC to sell annuities and life insurance in August 2018. No variable products. I continued this business until about October 2019, the month that my E&O insurance expired, and about a month before I opened my Allstate Agency. Currently the LLC entity, as well as the firm license, are active, for solely tax purposes so that I can collect recurring commissions from business that I wrote fromAugust 2018 to September/October 2019. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/10/2018 ADDRESS: 2237 Edgar Road, Point Pleasant NJ 08742, United States DESCRIPTION: Entity is in place solely for the purpose of trailing and recurring commissions. BRIAN DUFFY, FUTURE LLC TO BE DETERMINED POSITION: Owner, Author NATURE: I wrote a book, from my life experience mostly before I got to Allstate. I do not make much in royalties, maybe $2 a sold book. I wrote it because of the way I got into the business, may help others who are underachievers feel that they can improve themself. I hope to speak about it someday. I will soon create an LLC, get a bank account, maybe even a website to post blogs. I did all of the publishing through Amazon Kindle Direct Publishing (KDP). The nature, or purpose, is to help other people who were in my shoes, underachieving, who think they are 'stuck'. I may eventually also create social media pages, but there are none right now. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 03/05/2024 ADDRESS: 2237 Edgar Road, Point Pleasant NJ 08742, United States DESCRIPTION: Author, publisher. I did it all. Self published. TRAILING COMMISSIONS FROM EVERLAKE, WILTON RE, LBL AND THE STANDARD POSITION: Agent NATURE: Servining Allstate legacy business INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/13/2025 ADDRESS: 615 Hope Road, Suite 2B, Eatontown NJ 07724, United States DESCRIPTION: Servicing Allstate legacy business BRIAN DUFFY, FUTURE LLC TO BE DETERMINED POSITION: Owner, Author NATURE: I wrote a book, from my life experience mostly before I got to Allstate. I do not make much in royalties, maybe $2 a sold book. I wrote it because of the way I got into the business, may help others who are underachievers feel that they can improve themself. I hope to speak about it someday. I will soon create an LLC, get a bank account, maybe even a website to post blogs. I did all of the publishing through Amazon Kindle Direct Publishing (KDP). The nature, or purpose, is to help other people who were in my shoes, underachieving, who think they are 'stuck'. I may eventually also create social media pages, but there are none right now. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/05/2024 ADDRESS: 2237 Edgar Road, Point Pleasant NJ 08742, United States DESCRIPTION: Author, publisher. I did it all. Self published.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Thomas 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
January 11, 2024 - Present
ALLSTATE FINANCIAL ADVISORS, LLC
Office #1: 615 Hope Rd Ste 2 Bldg 2b, Eatontown, NJ 07724-1273RIA
CRD#: 109524
Eatontown, NJ
Current
December 11, 2020 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 615 Hope Rd Ste 2 Bldg 2b, Eatontown, NJ 07724-1273BD
CRD#: 18272
Eatontown, NJ
Past
June 29, 2005 - May 21, 2018
PENTEGRA INVESTORS, INC.
RIA
CRD#: 111503
RAHWAY, NJ
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".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
RIA
Registered Investment Advisory firm - (11/21/2007 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
Florida(6/2/2025)
RR
New Jersey(12/11/2020)
IAR
New Jersey(1/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 12/11/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
RIA
Registered Investment Advisory firm - (11/21/2007 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
