James
Duffy
Principal Securities, Inc
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About this Advisor
James Duffy is a financial advisor who works out of Melville, New York who has 2 years of industry experience. Duffy is an employee of Principal Securities, Inc. Duffy has gained experience at Principal Life Insurance Co, Principal Securities and Park Avenue Strategic Partners. Duffy holds a Series 63 license, which qualifies them as a securities representative, and is registered to work in New York. Principal Securities, Inc is an advisory company based in Des Moines, IA. It has offices in 350 locations and a total of 1,430 advisors. It controls $9 billion in assets under management between its 46,075 accounts, making it one of the biggest investment advisory firms in the country by assets under management. The firm advises 34 charitable organizations. Of its 46,075 client accounts, just 3% are associated with high-net-worth clients who have more than $1 million in investable assets. Principal Securities, Inc performs a wide assortment of services, including financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers and educational seminars. Fees for financial advice usually vary depending on the services. Fee types charged by Principal Securities, Inc most likely consist of asset-based, hourly, fixed and other fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Principal Securities, Inc Brokerage Details
$9,416,854,861
1,430
46,075
$204,381
Investment Advisory Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers
- Educational seminars/workshops
James Duffy Work History
James has been registered as a financial advisor for 2 years.*
Principal Life Insurance Co
Principal Securities
Park Avenue Strategic Partners
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of James Duffy to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
Financial Advisors at Principal Securities, Inc
Seattle, WA
Des Moines, IA
Tampa, FL
Arlington, TX
Lansing, MI
Fargo, ND
Puyallup, WA
Milwaukee, WI
The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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