Patrick Duffy
Patrick Duffy is a registered investment advisor at LPL Financial LLC, based in Surprise, AZ, with 14 years of industry experience. Patrick is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B 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 | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
Surprise, AZ
Get directionsHistory
Regulatory History (3)
Financial
February 2025Regulatory
March 2018Employment Separation After Allegations
October 2017Other Business Activities
Patrick is a councilmember for the City of Surprise, Arizona, since 2017. This takes approximately 60 hours per month, but none during trading hours.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Scf Investment Advisors, INC.
Scf Securities, INC.Broker
First Financial Equity CorporationBroker
First Financial Equity Corporation
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Raymond James Financial Services, INC.Broker
State Registrations4 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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