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Robert Joseph Duffy

Raymond James & Associates, Inc.

Las Vegas, NV

CRD 6109336

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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

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

Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-10-24
NV RA APPROVED 2025-10-23
  • TX RA
    APPROVED_RES
    Since 2025-10-24
  • NV RA
    APPROVED
    Since 2025-10-23

Branch Locations

10801 W. Charleston Blvd Suite 120, Las Vegas, NV 89135 • 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
OrganizationCityStateFromTo
Morgan Stanley Las Vegas NV 12/2013 10/2025
Morgan Stanley Private Bank, National Association New York NY 01/2015 10/2025
Raymond James & Associates, Inc. Las Vegas NV 10/2025 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
  • 12/2013 → 10/2025
    Morgan Stanley
    Las Vegas, NV
  • 01/2015 → 10/2025
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 10/2025 → Present
    Raymond James & Associates, Inc.
    Las Vegas, NV
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-10-13
  • S66 Uniform Combined State Law Examination
    2012-10-13
Other Names
  • Robert Joseph Duffy
  • Robert Joseph Duffy Iii

View on SEC IAPD

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