Individual Firm
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Michael C Duffy
MICHAEL C DUFFY, MICHAEL CHRISTOPHER DUFFY, Michael Duffy
CRD#: 2203200
IA
B
MARINER INDEPENDENTCRD#: 283824 1495 Laurel Street
San Carlos, CA 94070
San Carlos, CA 94070
LPL FINANCIAL LLCCRD#: 6413 1495 LAUREL ST
SAN CARLOS, CA 94070
SAN CARLOS, CA 94070
0
Disclosures
30
Years of Experience
View By:
State Registrations
B
California 3/29/2018
B
Michigan 12/12/2019
IA
California 3/29/2018
B
North Dakota 4/3/2023
B
Florida 6/25/2022
B
Oregon 3/29/2018
B
Massachusetts 3/29/2018
B
Wyoming 8/13/2020
SRO Registrations
B
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IA
Registered with this firm since 3/29/2018
B
Registered with this firm since 3/29/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/23/2009 - 04/03/2018 | MENLO PARK, CA | |
B | 10/23/2009 - 04/03/2018 | MENLO PARK, CA | |
IA | 03/22/2002 - 10/23/2009 | SUNNYVALE, CA | |
B | 11/09/1999 - 10/23/2009 | SUNNYVALE, CA | |
B | 07/01/1996 - 11/10/1999 | LONG ISLAND CITY, NY | |
B | 02/21/1995 - 08/09/1996 | WEEHAWKEN, NJ |
MENLO PARK, CA
10/23/2009 - 04/03/2018
MENLO PARK, CA
10/23/2009 - 04/03/2018
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.