Christopher Brian Duffy

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

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

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-01-21
FL	RA	APPROVED	2021-01-19

TX RA
APPROVED_RES

Since 2021-01-21
FL RA
APPROVED

Since 2021-01-19

Branch Locations

4050 West Boy Scout Boulevard, Tampa, FL 33607 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Morgan Stanley	Temple Terrace	FL	11/2020	Present
Fis - Fidelity Information Services	St Petersburg	FL	03/2018	10/2020
Verizon Connect	Tampa	FL	01/2017	02/2018
Fis - Fidelity Information Services	St Petersburg	FL	02/2016	12/2016

11/2020 → Present

Morgan Stanley

Temple Terrace, FL
03/2018 → 10/2020

Fis - Fidelity Information Services

St Petersburg, FL
01/2017 → 02/2018

Verizon Connect

Tampa, FL
02/2016 → 12/2016

Fis - Fidelity Information Services

St Petersburg, FL

Other Businesses

*545 - Construction/Engineering; Investment related: Yes; Land O Lakes, Florida; Construction/Engineering; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 02/2023; During business hours: 0; After business hours: 10; Accounting/Bookkeeping, Business Development/Growth, Check Signing/Funds Disbursements, Administrative, Customer Service, Labor/Service

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-01-15

S66 Uniform Combined State Law Examination

2021-01-15

View on SEC IAPD