Duff FreemanCRD Number: 1060808
Current Firm: Sagepoint Financial, Inc.
Duff Freeman (CRD# 1060808) is an Investment Advisor Representative working at Sagepoint Financial, Inc. in Raleigh, NC and has over 33 years of experience in the finance industry.
Wiser Financial Coaching, LLC
Signator Investors, Inc.
Hornor, Townsend & Kent, Inc.
|Sagepoint Financial Advisors||Raleigh, NC||Apr 2011 - Current||6|
|Freeman Financial Services||Raleigh, NC||Sep 1995 - Current||22|
|Next Financial Group Inc.||Raleigh, NC||Dec 2008 - Apr 2011||2|
|Aig Financial Advisors, Inc.||Phoenix, AZ||Oct 2005 - Dec 2008||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1984|
|S65||NASAA Investment Advisors Law Examination||May 2000|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management4,385MILLIONS
Total Number of Accounts23,011ACCOUNTS
Average Account Value$190,540
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
- Educational seminars/workshops