Ryan P. Duffie
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.
Ryan Patrick Duffie, who also goes by Ryan Patrick Duffie Mr, Ryan Patrick Duffie, Ryan Duffie, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2006. Ryan had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2019 - December 16, 2019
LPL FINANCIAL LLC
January 23, 2019 - December 16, 2019
LPL FINANCIAL LLC
November 27, 2013 - April 4, 2017
WELLS FARGO CLEARING SERVICES, LLC
November 27, 2013 - April 4, 2017
WELLS FARGO CLEARING SERVICES, LLC
February 21, 2012 - March 15, 2012
STONEX SECURITIES INC.
October 24, 2011 - March 14, 2012
JBS LIBERTY SECURITIES, INC.
June 7, 2011 - March 14, 2012
SYNERGY INVESTMENT GROUP, LLC
June 2, 2011 - March 14, 2012
SYNERGY INVESTMENT GROUP, LLC
November 29, 2010 - April 5, 2011
NEXT FINANCIAL GROUP, INC.
October 19, 2010 - April 5, 2011
NEXT FINANCIAL GROUP, INC.
March 20, 2007 - July 24, 2009
SIGNATOR INVESTORS, INC.
April 25, 2006 - July 24, 2009
SIGNATOR INVESTORS, INC.
January 20, 2006 - April 27, 2006
JOHN HANCOCK DISTRIBUTORS LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
