Joseph Duffy
Joseph Duffy is a registered investment advisor at MML Investors Services, LLC, based in New York, NY, with 16 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 454,836 clients with $120B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
420 Lexington Avenue, 25th Floor, Suite 2510, New York, NY, 10170
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
May 2018Other Business ActivitiesSells Insurance
Joseph is a financial advisor at a non-MMLIA insurance brokerage since 2020, spending minimal time there. He also owns JTDUFFY Services, LLC, a shell/holding company and LLC passthrough for MassMutual and MMLIS business, and is a partial owner of The Spotlight Project, LLC, an ecommerce jewelry business.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Eagle Strategies LLC
Nylife Securities LLCBroker
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Citigroup Global Markets INC.Broker
Metlife Securities INC.Broker
Waddell & Reed, INC.Broker
State Registrations22 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
More Advisors
- Karl Johanson, ChFCMML Investors Services, LLC
- Jaime Kobin, CFPMML Investors Services, LLC
- Douglas Collins, CFPMML Investors Services, LLC
- David ShamashMML Investors Services, LLC
- Martin Ferraro, CFPMML Investors Services, LLC
- Brian Kaplan, CFPMML Investors Services, LLC