Kevin Duffy (CRD# 2673236) is an Investment Advisor Representative working at Aw Securities in Folsom, CA and has over 23 years of experience in the finance industry. Kevin Duffy has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2464546
Capital Planning Advisors LLC
CRD# 5156625
Dynamic Wealth Strategies, LLC
CRD# 2923073
Captrust
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Hanson Mcclain Securities | Sacramento, CA | Dec 2015 - Current | 8 |
| Hanson Mcclain Advisors | Sacramento, CA | Dec 2015 - Current | 8 |
| Tiaa | Pasadena, CA | Sep 2014 - Dec 2015 | 1 |
| Tiaa-cref Individual & Institutional Services, LLC | Pasadena, CA | Sep 2014 - Dec 2015 | 1 |
| Charles Schwab & Company, Inc. | Santa Barbara, CA | Jan 2014 - Sep 2014 | < 1 |
| Charles Schwab Bank | Santa Barbara, CA | Jan 2014 - Sep 2014 | < 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Apr 2001 |
| S63 | Uniform Securities State Law Examination | Mar 2014 |
- CA
-
Total Assets Under Management0MILLIONS
-
Total Number of Accounts0ACCOUNTS
-
Average Account Value$0
- Other
- Other
CA
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