Sean Michael Duffy

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 08/2001 → 12/2016
  A.G. Edwards & Sons, Inc.
  St. Louis, MO
• 12/2016 → 03/2020
  Ameriprise Financial Services, Inc.
  Washington, DC
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Silver Spring, MD

Previous Registrations

• 2008-05-05 → 2016-12-14
  First Georgetown Securities, Inc.
  Alexandria, VA

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-04-28
• S63 Uniform Securities Agent State Law Examination
  1998-10-05