WD
William C. Duffy
Some features on this profile are disabled
CRD#: 6726333
WD
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.
William Christopher Duffy, ChFC®, who also goes by Will Duffy, William Christopher Duffy, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2016. William had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Will Duffy | William Christopher 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.
1. -Abundance Press, LLC; 10463 Park Meadows Dr, Suite 211, Lone Tree, CO 80124; Publishing Co; Owner/Author; non-investment related; 1/4/2019; 0 hours per month during securities trading hours. 2.-NAME OF OTHER BUSINESS: DUFFY FINANCIAL, LLC; (WD WEALTH STRATEGIES IS THE DBA OF DUFFY FINANCIAL, LLC) IS OTHER BUSINESS INVESTMENT RELATED: YES; ADDRESS OF OTHER BUSINESS: 10463 PARK MEADOWS DRIVE, SUITE 211, LONE TREE, COLORADO 80124; NATURE OF OTHER BUSINESS: LIFE INSURANCE; TITLE: OWNER; START DATE: 07/2017; APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO OTHER BUSINESS: 20 HOURS PER WEEK; NUMBER OF HOURS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS: 20 HOURS PER WEEK; DUTIES RELATING TO OTHER BUSINESS: LIFE INSURANCE AND ANNUITY SALES. 3-NAME OF OTHER BUSINESS: LEASE OPTION SOLUTIONS, LLC; IS OTHER BUSINESS INVESTMENT RELATED: YES; ADDRESS OF OTHER BUSINESS: 6500 SOUTH QUEBEC STREET, SUITE 300, CENTENNIAL, COLORADO 80111; NATURE OF OTHER BUSINESS: LEASE OPTIONING HOMES; TITLE: MEMBER; START DATE: 03/2017; APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO OTHER BUSINESS: 4 HOURS PER WEEK; NUMBER OF HOURS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS: 4 HOURS PER WEEK; DUTIES RELATING TO OTHER BUSINESS: FUNDING REAL ESTATE TRANSACTIONS. 4- WD Business Services, LLC: INVESTMENT RELATED; YES: TITLE; OWNER: PMB 120, CARR 693 STE1, DORADO, PR 00646: CONSULTING/INVESTMENTS/INSURANCE/TAX PLANNING-160 HOURS DURING THE MONTH DURING SECURITIES TRADING HOURS 5)-VENDEE RE, LLC-INVESTMENT RELATED-215 HILAND ACRES CIRCLE, POTTSBORO, TX 75076-MANAGING MEMBER-RENTAL HOMES-QUALIFYING AND PURCHASING HOMES-2 HRS A MONTH DURING SECURITIES TRADING HOURS 6)- AGAPE KINGDOM FELLOWSHIP: INVESTMENT RELATED; NO: ADDRESS; 4085 INDEPENDENCE COURT, WHEAT RIDGE, CO 80033: TITLE; CHURCH PASTOR: RESPONSIBILITIES; PREPARING WEEKLY SERMONS, PREACHING, AND CONDUCTING WORSHIP SERVICES: START DATE; 11/2021: NUMBER OF HOURS DURING SECURITIES TRADING HOURS: NONE 7) Paragon IDF LLC; investment related; 700 E Palisade Ave, Englewood Cliffs, NJ 07632; The purpose of the LLC is to invest in US Real Estate and other assets; non-member manager; 01/01/2021; 1-2 hours/month; 1-2 hours/month during trading hours; to manage the LLC, including capital allocation. 8) RLHB 2020 Island IDF LLC; investment related; 700 E Palisade Ave, Englewood Cliffs, NJ 07632; The purpose of the LLC is to invest in US Real Estate and other assets; non-member manager; 01/01/2021; 1-2 hours/month; 1-2 hours/month during trading hours; to manage the LLC, including capital allocation. 9) RLHB 2020 Canyon IDF LLC; investment related; 700 E Palisade Ave, Englewood Cliffs, NJ 07632; The purpose of the LLC is to invest in US Real Estate and other assets; non-member manager; 01/01/2021; 1-2 hours/month; 1-2 hours/month during trading hours; to manage the LLC, including capital allocation. 10) Satori PPLI LLC; investment related; 700 E Palisade Ave, Englewood Cliffs, NJ 07632; The purpose of the LLC is to invest in US Real Estate and other assets; non-member manager; 01/01/2021; 1-2 hours/month; 1-2 hours/month during trading hours; to manage the LLC, including capital allocation. 11) Innovation Partners, LLC; investment related; 5950 Fairview Road, Suite 140, Charlotte, NC, 28210; Broker Dealer; Registered Representative; Future/unknown; 3 hours/month; 3 hours/month during trading hours; Meet with clients, discuss PPLI benefits/risks, help issue PPLI policies.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
August 9, 2022 - January 3, 2024
INNOVATION PARTNERS LLC
BD
CRD#: 146344
Lone Tree, CO
Past
March 18, 2022 - October 27, 2023
DIRECT SOURCE WEALTH ADVISORY
RIA
CRD#: 300201
Lone Tree, CO
Past
February 13, 2022 - November 27, 2023
SHARENETT SECURITIES LLC
BD
CRD#: 151011
Lone Tree, CO
Past
July 7, 2021 - February 3, 2022
EMERSON EQUITY LLC
RIA
CRD#: 130032
Lone Tree, CO
Past
April 10, 2019 - February 3, 2022
EMERSON EQUITY LLC
BD
CRD#: 130032
Lone Tree, CO
Past
May 22, 2018 - July 1, 2021
ACCELERATED WEALTH ADVISORS LLC
RIA
CRD#: 170022
Lone Tree, CO
Past
January 5, 2018 - April 3, 2018
KINGSTONE CAPITAL PARTNERS TEXAS, LLC
RIA
CRD#: 281593
Commerce City, CO
Past
November 28, 2016 - June 11, 2018
EMERSON EQUITY LLC
BD
CRD#: 130032
Denver, CO
Past
November 9, 2016 - December 31, 2017
KINGSTONE CAPITAL PARTNERS TEXAS, LLC
RIA
CRD#: 281593
Commerce City, CO
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".
IP
INNOVATION PARTNERS LLC
DEEMER WEALTH MANAGEMENT | INNOVATION PARTNERS LLC. | INNOVATION PARTNERS LLC
CRD#: 146344 / SEC#: 801-78702, 8-67812
RIA
Registered Investment Advisory firm - SEC (10/24/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)California
Registered Investment Advisory firm - SEC (1/9/2014 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/17/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/11/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (1/10/2014 Terminated)New York
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/11/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/1/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
IP
INNOVATION PARTNERS LLC
DEEMER WEALTH MANAGEMENT | INNOVATION PARTNERS LLC. | INNOVATION PARTNERS LLC
CRD#: 146344 / SEC#: 801-78702, 8-67812
RIA
Registered Investment Advisory firm - SEC (10/24/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)California
Registered Investment Advisory firm - SEC (1/9/2014 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/17/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/11/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (1/10/2014 Terminated)New York
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/11/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (12/10/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5950 Fairview Road Suite 140, Charlotte, NC 28210
Mailing Address
5950 Fairview Road Suite 140, Charlotte, NC 28210
Phone number
(704) 708-5461
Established
North Carolina since 11/19/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
297
SEC notice filing (40 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
