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JOHN MICHAEL DUFFY
CRD#: 2402030
IA
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MORGAN STANLEYCRD#: 149777 800 East 96th Street
Suite 400
Indianapolis, IN 46240
Suite 400
Indianapolis, IN 46240
0
Disclosures
31
Years of Experience
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State Registrations
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Alabama 1/9/2025
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Nevada 4/3/2012
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Arizona 4/3/2012
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New Hampshire 4/3/2012
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California 4/3/2012
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New Jersey 4/3/2012
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Colorado 4/3/2012
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New Mexico 4/3/2012
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Connecticut 4/3/2012
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New York 4/3/2012
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Delaware 2/4/2022
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North Carolina 4/3/2012
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District of Columbia 4/3/2012
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North Dakota 2/23/2017
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Florida 4/3/2012
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Ohio 4/3/2012
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Georgia 4/3/2012
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Oklahoma 10/30/2013
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Hawaii 4/3/2012
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Oregon 4/3/2012
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Illinois 4/3/2012
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Pennsylvania 4/3/2012
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Indiana 4/3/2012
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South Carolina 4/3/2012
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Indiana 4/3/2012
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Tennessee 4/3/2012
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Iowa 4/3/2012
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Texas 4/3/2012
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Kentucky 4/3/2012
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Texas 4/3/2012
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Louisiana 4/3/2012
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Utah 4/3/2012
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Maryland 4/3/2012
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Virginia 6/1/2017
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Massachusetts 4/3/2012
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Washington 8/30/2013
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Michigan 4/3/2012
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West Virginia 4/13/2018
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Minnesota 6/12/2019
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Wisconsin 6/17/2020
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Missouri 4/3/2012
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Wyoming 11/20/2024
SRO Registrations
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Registered with this firm since 4/3/2012
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Registered with this firm since 4/3/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/23/2001 - 04/11/2012 | INDIANAPOLIS, IN | |
B | 03/23/2001 - 04/11/2012 | INDIANAPOLIS, IN | |
B | 11/04/1993 - 03/27/2001 | NEW YORK, NY |
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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.