JD
JD
James Duffy is a registered investment advisor at Morgan Stanley, based in Riverhead, NY, with 38 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
611 East Main Street, Riverhead, NY, 11901
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Regulatory History (4)
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Customer Dispute
December 2016Denied
Customer Dispute
September 2012Settled
Customer Dispute
January 2001Denied
Customer Dispute
January 2000Settled
Employment History
Current Registrations
Morgan Stanley
June 2021 - Present · 4 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
April 2006 - April 2007 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2006 - May 2006 · 2 mos
Advest, INC.Broker
August 2000 - March 2006 · 5 yrs 7 mos
First Union Securities, INC.Broker
August 2000 - September 2000 · 1 mo
First Albany CorporationBroker
December 1993 - August 2000 · 6 yrs 8 mos
Mclaughlin, Piven, Vogel Securities, INC.Broker
June 1987 - January 1994 · 6 yrs 7 mos
State Registrations23 states
ARAZCACOCTDCFLGAHIIDILMAMDMEMTNCNJNVNYORPAVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.