David Duffy, financial advisor Royal Oak MI
93 score

David Duffy

CRD Number: 5453549
Current Firm: Cetera Advisors LLC

David Duffy (CRD# 5453549) is an Investment Advisor Representative working at Cetera Advisors LLC in Royal Oak, MI and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Cetera Advisors LLC Denver, CO Jan 2013 - Current 3
Unique Business Systems, Inc. Royal Oak, MI Feb 2005 - Current 11
Westex Properties, LLC Swartz Creek, MI Apr 2004 - Current 12
David Duffy Cpa. Royal Oak, MI Jan 1988 - Current 28
Multi-financial Securities Corporation Denver, CO Dec 2007 - Dec 2012 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 2007
S65 NASAA Investment Advisors Law Examination Feb 2008
Contact Info for David L. Duffy
Phone Number: 800-929-3485
Registered State(s):
  • FL
  • MI
By the Numbers
  • Total Assets Under Management
    9,424
    MILLIONS
  • Total Number of Accounts
    47,356
    ACCOUNTS
  • Average Account Value
    $199,001
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, 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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