CD
CD

Colton Duffy

12 Years of Experience
Denver, CO
Broker

Colton Duffy is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Denver, CO, with 12 years of industry experience. Colton operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.

Compensation
Fixed/Hourly
Firm Size
2117 advisors
Number of Clients
1 client
Average Client Portfolio
Not specified

Fee Structure

Investment management only (planning not offered)

NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.

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Location

1873 S Bellaire St, Ste 1600, Denver, CO, 80222

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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

No outside business activities were provided in the text.

Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
April 2015 - Present · 11 yrs 1 mo
Northwestern Mutual Investment Services, LLCBroker
October 2013 - Present · 12 yrs 7 mos
State Registrations7 states
AZCACODCNYTXUT
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.
Colton Duffy - Financial Advisor | TrueAdvisor