Daniel James Duffy

Current Employers

Employment History

• 03/2005 → 08/2018
  Fidelity Brokerage Services Llc
  The Woodlands, TX
• 07/2018 → 08/2018
  Fidelity Personal And Workplace Advisors
  The Woodlands, TX
• 08/2018 → Present
  Charles Schwab & Co., Inc.
  Houston, TX
• 08/2018 → Present
  Charles Schwab Bank
  Houston, TX

Previous Registrations

• 2022-07-22 → 2022-10-14
  Td Ameritrade, Inc.
  Houston, TX
• 2018-07-13 → 2018-08-24
  Fidelity Personal And Workplace Advisors
  Boston, MA
• 2011-06-15 → 2018-07-13
  Strategic Advisers Llc
  The Woodlands, TX
  Westlake, TX

Other Businesses

1) Daniel Duffy | Investment Related:No|20514 South Blue Hyacinth Drive|Cypress|TX|77433|USA|Other|Notary Provider|6/4/2021|Less than 20|0|I am currently an approved notary for Charles Schwab. I would like the ability that if a friend or neighbor needed notary services, that I could provide them outside of Schwab. I would keep a separate book in compliance with state of Texas rules/regulations. I dont plan on taking compensation for this, but as friends do, they may give me something of value as a way to say thanks. I am merely submitting this as a &quot,just in case&quot, situation., 2) Scouting of America / Troop 1921 | Investment Related:No|Other|Troop Treasurer|9/14/2025|Less than 20|0|Volunteer position / No investments / Banking accounts only. The primary duty of a scout troop adult treasurer is to manage the troop's finances. This includes handling all troop funds, paying bills with proper authorization, maintaining bank accounts, and keeping accurate financial records. They also play a key role in the annual budget process, fundraising efforts, and reporting to the troop committee.

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-06-13
• S63 Uniform Securities Agent State Law Examination
  2005-07-22