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CD

Christopher J. Duff

KEEBECK WEALTH MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6420062
CD

Professional summary

Christopher John Duff, who also goes by Christopher Duff, Chris Duff, is a registered financial advisor currently at KEEBECK WEALTH MANAGEMENT located in Chicago, Illinois.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Christopher has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Christopher Duff | Chris Duff

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.
DBA WELLS, ROSELIEB AND RAIA WEALTH MANAGEMENT. REGISTERED SALES ASSISTANT, WELLS, ROSELIEB AND RAIA WEALTH MANAGEMENT, conducts the following tasks: trade discretionary advisory SAM accounts (producer group provides trading instructions), participate in monthly Investment Committee Meeting, run Portfolio Review Tool (PRT) analysis for discretionary SAM accounts, design SAM Models for LPL's Rebalancer Tool within Enhanced Trading in order to rebalance discretionary SAM accounts, maintains performance records on SAM Models, disseminate economic and market news to group, manage OneDrive and Hearsay, prepare client review documentation on a quarterly basis. 160 hours per mo. 50,000 per yr, start 11.2016.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John Duff's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 5, 2018 - Present

KEEBECK WEALTH MANAGEMENT

Office #1: 150 N. Riverside Plaza Suite 1850, Chicago, IL 60606
RIA
CRD#: 297496
Chicago, IL
Past

January 30, 2017 - August 6, 2018

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
OAK BROOK, IL
Past

November 10, 2016 - August 6, 2018

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
OAK BROOK, IL
Past

July 19, 2016 - August 29, 2016

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
OAKBROOK TERRACE, IL
Past

June 8, 2016 - August 29, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
OAKBROOK TERRACE, IL

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".
KW
KEEBECK WEALTH MANAGEMENT
KEEBECK FAMILY WEALTH LLC | KEEBECK WEALTH MANAGEMENT LLC | KEEBECK WEALTH MANAGEMENT | KEEBECK PARTNERS, LLC

CRD#: 297496 / SEC#: 801-113573

RIA
Registered Investment Advisory firm - (7/6/2018 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.

Highlighted states indicate IAR registrations

IAR
Illinois
(11/5/2018)
IAR
Texas
(5/1/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/18/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/7/2016
General Securities Representative Examination

Current Firm

KW
KEEBECK WEALTH MANAGEMENT
KEEBECK FAMILY WEALTH LLC | KEEBECK WEALTH MANAGEMENT LLC | KEEBECK WEALTH MANAGEMENT | KEEBECK PARTNERS, LLC

CRD#: 297496 / SEC#: 801-113573

RIA
Registered Investment Advisory firm - (7/6/2018 Approved)
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Contact information

Main Address
150 N. Riverside Plaza Suite 1850, Chicago, IL 60606
Mailing Address
Phone number
(312) 825-1200
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (10 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KEEBECK FAMILY WEALTH LLC ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts764
AUM (Assets Under Management)$ 1,620,443,949

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

KEEBECK WEALTH MANAGEMENT

CRD#: 297496Chicago, IL 60606

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