TD
TD

Thomas Duff

28 Years of Experience
Celebration, FL
1 DisclosureBroker

Thomas Duff is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Celebration, FL, with 28 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B

Fee Structure

Hourly Rate:Up to $400/hr
Loading...

Location

Celebration, FL

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2007
Settled
Other Business Activities

Thomas is an officer and volunteer for Maine Ducks Unlimited, dedicating about 10-20% of his time. He also owns Single Source Financial Centre and Thomas W Duff, LLC, spending about 10-20% of his time on the former and minimal time on the latter.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
January 2009 - Present · 17 yrs 4 mos
Raymond James Financial Services, INC.Broker
May 1997 - Present · 29 yrs
Previous Registrations
Raymond James Financial Services
January 2007 - January 2009 · 2 yrs
Duff & Assoc., INC
February 2005 - December 2006 · 1 yr 10 mos
State Registrations34 states
AKALAZCACOCTFLGAILINKSKYMAMDMEMOMSMTNCNHNJNMNYOHRISCSDTNTXUTVAVTWIWV
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.
Thomas Duff - Financial Advisor | TrueAdvisor