Individual Firm
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PATRICK T DUFFY
PAT DUFFY, PATRICK THOMAS DUFFY
CRD#: 5865307
IA
B
SCF INVESTMENT ADVISORS, INC.CRD#: 123608 Surprise, AZ
SCF SECURITIES, INC.CRD#: 47275 Surprise, AZ
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3/16/2018
Regulatory
Final
10/12/2017
Employment Separation After Allegations
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
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/14/2017 - 03/31/2022 | Glendale, AZ | |
B | 11/15/2017 - 03/31/2022 | Glendale, AZ | |
IA | 01/03/2013 - 11/02/2017 | SUN CITY, AZ | |
B | 11/09/2012 - 11/02/2017 | SUN CITY, AZ | |
B | 01/24/2012 - 08/03/2012 | SUN CITY, AZ |
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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.