David R. Duff
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.
David Russell Duff, CFP®, who also goes by David Duff, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2015. David had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2017
Experience
May 4, 2016 - December 20, 2023
CAPITAL ANALYSTS
April 19, 2016 - December 20, 2023
LINCOLN INVESTMENT
April 19, 2016 - December 20, 2023
LINCOLN INVESTMENT
June 23, 2015 - April 1, 2016
SECURITIES AMERICA, INC.
April 20, 2015 - April 1, 2016
SECURITIES AMERICA ADVISORS, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
Series 7TO
Date: 8/15/2022
General Securities Representative ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
