Robert Duff, financial advisor Naples FL
93 score

Robert Duff

CRD Number: 1287310
Current Firm: Ubs Financial Services Inc.

Robert Duff (CRD# 1287310) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Naples, FL and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Sewickley, PA Oct 2008 - Current 8
Wachovia Securities, LLC Naples, FL Nov 2007 - Oct 2008 < 1
Wachovia Securities, LLC Pittsburgh, PA Jun 2003 - Nov 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1984
S65 NASAA Investment Advisors Law Examination Apr 1996
Contact Info for Robert C. Duff
Phone Number: 201-352-3000
Registered State(s):
  • FL
  • TX
  • PA
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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