JD
JD

John Duffy

32 Years of Experience
Indianapolis, IN
Broker

John Duffy is a registered investment advisor at Morgan Stanley, based in Indianapolis, IN, with 32 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

800 East 96th Street, Suite 400, Indianapolis, IN, 46240

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

John is involved with Duffy Associates LLC, a passive real estate holding company, spending minimal time collecting rent and filing taxes. He is also a board member for the Indiana High School Lacrosse Association, dedicating a few hours per week for administrative tasks.

Employment History
Current Registrations
Morgan Stanley
April 2012 - Present · 14 yrs 1 mo
Morgan StanleyBroker
April 2012 - Present · 14 yrs 1 mo
Previous Registrations
UBS Financial Services INC.
March 2001 - April 2012 · 11 yrs 1 mo
UBS Financial Services INC.Broker
March 2001 - April 2012 · 11 yrs 1 mo
Prudential Securities IncorporatedBroker
November 1993 - March 2001 · 7 yrs 4 mos
State Registrations40 states
ALAZCACOCTDCDEFLGAHIIAILINKYLAMAMDMIMNMOMTNCNDNHNJNMNVNYOHOKORPASCTNTXUTVAWAWIWV
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.
John Duffy - Financial Advisor | TrueAdvisor