Brian Duffy
Brian Duffy is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Seattle, WA, with 38 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.25% |
Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.
Fee Estimator
Location
4739 44th Avenue Sw, Seattle, WA, 98116
Get directionsHistory
Regulatory History (3)
Customer Dispute
February 2009Customer Dispute
October 2008Customer Dispute
October 2002Other Business Activities
Brian owns Duffy Investments LLC, a rental real estate business, dedicating a few hours per week. He also owns Duffy Wealth Management, LLC, a support company, spending about 10-20% of his time as a branch manager/owner.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Previous Registrations
Edward Jones
Edward JonesBroker
State Registrations32 states
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
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