Charles DuffyCRD Number: 1558710
Current Firm: Ubs Financial Services Inc.
Charles Duffy (CRD# 1558710) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Weehawken, NJ and has over 10 years of experience in the finance industry.
Legacy Care Wealth, LLC
Financial Life Focus, LLC
Park Avenue Securities LLC
|Ubs Financial Services Inc.||Weehawken, NJ||Nov 2013 - Current||8|
|Ubs||Weehawken, NJ||Apr 2008 - Nov 2013||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 2011|
|S66||NASAA Uniform Combined State Law Examination||Aug 2016|
Total Assets Under Management572,471MILLIONS
Total Number of Accounts1,003,533ACCOUNTS
Average Account Value$570,455
- 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)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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