Earle M. Duffey
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.
Earle Mckissack Duffey JR, who also goes by Mack Duffey, was a registered financial professional .
Earle is a previously registered financial professional and started their career in finance in 1977. Earle had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2014 - January 26, 2017
OSAIC INSTITUTIONS, INC.
December 2, 2014 - January 26, 2017
OSAIC INSTITUTIONS, INC.
September 7, 2012 - December 8, 2014
NEW ENGLAND SECURITIES
September 7, 2012 - December 8, 2014
NEW ENGLAND SECURITIES
February 15, 2008 - September 7, 2012
INTL ADVISORY CONSULTANTS INC.
February 15, 2008 - September 7, 2012
STERNE, AGEE & LEACH, INC.
September 1, 2006 - February 28, 2008
CITIGROUP GLOBAL MARKETS INC.
September 1, 2006 - February 28, 2008
CITIGROUP GLOBAL MARKETS INC.
July 10, 2003 - September 7, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
August 24, 2000 - July 28, 2003
AMSOUTH INVESTMENT SERVICES, INC.
December 11, 1993 - September 7, 2006
AMSOUTH INVESTMENT SERVICES, INC.
January 1, 1990 - December 20, 1993
THE O.N. EQUITY SALES COMPANY
December 26, 1985 - December 19, 1989
EQUITY SERVICES, INC.
December 19, 1984 - December 24, 1985
A. G. EDWARDS & SONS, INC.
November 10, 1977 - May 17, 1978
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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 1
Date: 11/2/1977
Registered Representative ExaminationCurrent Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 9 |
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.
