Travis Dufner
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.
Travis Dufner was a registered financial professional .
Travis is a previously registered financial professional and started their career in finance in 2017. Travis had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2022 - September 16, 2025
MILLSTONE FINANCIAL GROUP
September 24, 2021 - January 12, 2022
ALPS DISTRIBUTORS, INC.
March 12, 2018 - September 3, 2021
WBI INVESTMENTS, LLC
February 21, 2018 - September 3, 2021
MILLINGTON SECURITIES, INC.
March 22, 2017 - February 16, 2018
PARK AVENUE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MILLSTONE FINANCIAL GROUP
CRD#: 297882 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 418 |
| AUM (Assets Under Management) | $ 80,670,538 |
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.
