Alex J. Duffy
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.
Alex John Duffy was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2018. Alex had worked at 5 firms and has passed the Series 63, 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
Experience
January 9, 2024 - June 6, 2024
INTEGRITY CAPITAL, LLC
May 3, 2022 - December 22, 2023
VOYA FINANCIAL PARTNERS, LLC
August 16, 2021 - January 13, 2022
FSB PREMIER WEALTH MANAGEMENT, INC.
July 5, 2019 - June 9, 2021
ATHENE SECURITIES, LLC
February 22, 2018 - June 4, 2019
GLOBAL ATLANTIC DISTRIBUTORS, LLC
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
INTEGRITY CAPITAL, LLC
CRD#: 285198 / SEC#: , 8-69829
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
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.
