Kerri Lyn Duffey

Punta Gorda, FL

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Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-08-11
FL	RA	APPROVED	2021-02-22

TX RA
APPROVED

Since 2021-08-11
FL RA
APPROVED

Since 2021-02-22

Branch Locations

117 Herald Court Suite 113, Punta Gorda, FL 33950 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Jpmorgan Chase Bank	Spring Hill	FL	08/2011	03/2018
J.P. Morgan Securities Llc	Spring Hill	FL	10/2012	03/2018
Wells Fargo Bank, Na	Englewood	FL	03/2018	02/2019
Wells Fargo Clearing Services, Llc	Englewood	FL	03/2018	02/2019
Kovack Securities, Inc.	Fort Lauderdal	FL	02/2019	03/2020
Kovack Advisors	Fort Lauderdale	FL	09/2019	03/2020
Morgan Stanley	Punta Gordon	FL	06/2020	Present

08/2011 → 03/2018

Jpmorgan Chase Bank

Spring Hill, FL
10/2012 → 03/2018

J.P. Morgan Securities Llc

Spring Hill, FL
03/2018 → 02/2019

Wells Fargo Bank, Na

Englewood, FL
03/2018 → 02/2019

Wells Fargo Clearing Services, Llc

Englewood, FL
02/2019 → 03/2020

Kovack Securities, Inc.

Fort Lauderdal, FL
09/2019 → 03/2020

Kovack Advisors

Fort Lauderdale, FL
06/2020 → Present

Morgan Stanley

Punta Gordon, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-02-19
S63	Uniform Securities Agent State Law Examination	2019-01-18

S65 Uniform Investment Adviser Law Examination

2021-02-19
S63 Uniform Securities Agent State Law Examination

2019-01-18

Other Names

Kerri Lyn Jerles
Kerri Lyn King
Kerri Lyn Ruggles
Kerri Lyn Duffey
Kerri Duffey

View on SEC IAPD

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