William Duffy - Investment Adviser

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Detailed ReportReport

William Duffy

WILL DUFFY, William Christopher Duffy

CRD#: 6726333

Previous Investment Adviser

Previous Broker

The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site

Licenses

Licenses

0 Licenses

Registration History

Disclosure(s)

View By:

1/23/2025

Customer Dispute

Pending

10/17/2024

Customer Dispute

Pending

6/11/2024

Customer Dispute

Pending

6/6/2024

Customer Dispute

Pending

4/19/2024

Customer Dispute

Pending

9/16/2022

Customer Dispute

Settled

11/9/2021

Customer Dispute

Settled

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	03/18/2022 - 10/27/2023	DIRECT SOURCE WEALTH ADVISORY (CRD#:300201)	Lone Tree, CO
IA	07/07/2021 - 02/03/2022	EMERSON EQUITY LLC (CRD#:130032)	Lone Tree, CO
IA	05/22/2018 - 07/01/2021	ACCELERATED WEALTH ADVISORS LLC (CRD#:170022)	Lone Tree, CO
IA	01/05/2018 - 04/03/2018	KINGSTONE CAPITAL PARTNERS TEXAS, LLC (CRD#:281593)	Commerce City, CO
IA	11/09/2016 - 12/31/2017	KINGSTONE CAPITAL PARTNERS TEXAS, LLC (CRD#:281593)	Commerce City, CO

DIRECT SOURCE WEALTH ADVISORY (CRD#:300201)

Lone Tree, CO

03/18/2022 - 10/27/2023

EMERSON EQUITY LLC (CRD#:130032)

Lone Tree, CO

07/07/2021 - 02/03/2022

ACCELERATED WEALTH ADVISORS LLC (CRD#:170022)

Lone Tree, CO

05/22/2018 - 07/01/2021

KINGSTONE CAPITAL PARTNERS TEXAS, LLC (CRD#:281593)

Commerce City, CO

01/05/2018 - 04/03/2018

KINGSTONE CAPITAL PARTNERS TEXAS, LLC (CRD#:281593)

Commerce City, CO

11/09/2016 - 12/31/2017

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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.

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.