Individual Firm
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JOSEPH DAVID DUFFEY
JOSEPH D DUFFEY
CRD#: 2250218
IA
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MADISON AVENUE SECURITIES, LLCCRD#: 23224 305 Artillery Park Drive, Suite 202
Ft. Mitchell, KY 41017
Ft. Mitchell, KY 41017
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Disclosures
32
Years of Experience
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State Registrations
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Arizona 2/10/2014
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Kentucky 1/3/2012
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Georgia 7/25/2013
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North Carolina 10/21/2019
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Indiana 1/3/2012
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Ohio 1/3/2012
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Kentucky 1/3/2012
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Utah 9/19/2022
SRO Registrations
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Registered with this firm since 1/3/2012
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Registered with this firm since 1/3/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2006 - 12/31/2011 | COVINGTON, KY | |
B | 11/18/2005 - 12/31/2011 | COVINGTON, KY | |
B | 02/02/2005 - 11/18/2005 | ALPHARETTA, GA | |
B | 11/22/2004 - 01/03/2005 | LOS ANGELES, CA | |
B | 09/15/2004 - 11/24/2004 | MINNEAPOLIS, MN | |
B | 05/01/2001 - 09/16/2004 | MONTPELIER, VT | |
B | 06/19/1998 - 04/30/2001 | ANAHIEM, CA | |
B | 02/09/1998 - 06/06/1998 | PHOENIX, AZ | |
B | 10/18/1994 - 12/23/1997 | BOSTON, MA | |
B | 07/22/1992 - 05/01/1997 | BOSTON, MA | |
B | 07/22/1992 - 05/31/1994 | BOSTON, MA |
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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.
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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.