Andrew Jon Duff

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2005 → 06/2020
  Axa Advisors, Llc
  New York, NY
• 06/2005 → 10/2023
  Equitable Advisors, Llc
  New York, NY
• 10/2023 → Present
  Lpl Financial, Llc
  Redding, CA

Previous Registrations

• 2005-06-01 → 2023-10-19
  Equitable Advisors, Llc
  New York, NY
  Redding, CA
  Redding, CA
• 2002-05-22 → 2005-06-01
  Mony Securities Corporation
  San Francisco, CA

Other Businesses

1) 09/2023 - DUFF FINANCAIL AND INSURANCE SERVICES - Non-Variable Insurance - Inv. Related - Redding, CA - Non Variable Insurance trails - Start Date 6/17/1999 - 1hr/month - 1% time spent 2) 09/2023 - Summit Wealth Strategies, LLC - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 1hr/month - 1% time spent 3) 09/2023 - TOP DRAWER ENTERPRISES - Business Owner - Non-inv. Related - Redding, CA - Owner - Start Date 01/01/2009 - 2hrs/month - 1% time spent 4) 09/2023 - MARKET STREET FINANCIAL BUILDING, OWNER - Real Estate Rental - Inv. Related - Redding, CA 96001 - Owner - Start Date 4/30/2014 - 4hrs/month - 2% time spent 5) 09/2023 - RESIDENTIAL RENTAL PROPERTIES - Real Estate Rental - Inv. Related - Redding, CA 96002 - Owner - Start Date 04/01/1998 - 1hr/month - 1% time spent

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-05-25
• S63 Uniform Securities Agent State Law Examination
  1996-10-25

Designations

• Certified Financial Planner
• Chartered Financial Consultant