Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PATRICK T DUFFY
PAT DUFFY, PATRICK THOMAS DUFFY
CRD#: 5865307
IA
Investment Adviser
B
Broker
SCF INVESTMENT ADVISORS, INC.CRD#: 123608 Surprise, AZ
SCF SECURITIES, INC.CRD#: 47275 Surprise, AZ
Registration History
201220142016201820202022202420262 FIRMS2017 - 2022 (4 years)2 FIRMS2022 - Present (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2017 (5 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2012 - 2012 (<1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2013 - 2017 (4 years)
Disclosure(s)
View By:
3/16/2018
Regulatory
Final
10/12/2017
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 3/31/2022
B
Florida 4/1/2022
IA
Arizona 3/31/2022
B
Kentucky 4/4/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCF INVESTMENT ADVISORS, INC. (CRD#:123608)
Surprise, AZ
Registered with this firm since 3/31/2022
B
SCF SECURITIES, INC. (CRD#:47275)
Surprise, AZ
Registered with this firm since 3/31/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/14/2017 - 03/31/2022 FIRST FINANCIAL EQUITY CORPORATION (CRD#:16507) Glendale, AZ
B
 11/15/2017 - 03/31/2022 FIRST FINANCIAL EQUITY CORPORATION (CRD#:16507) Glendale, AZ
IA
 01/03/2013 - 11/02/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SUN CITY, AZ
B
 11/09/2012 - 11/02/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SUN CITY, AZ
B
 01/24/2012 - 08/03/2012 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) SUN CITY, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.