James Joseph Duffy

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 03/2006 → Present
  Prudential Insurance Company Of America
  Hunt Valley, MD
• 03/2006 → 11/2024
  Pruco Securities, Llc.
  Hunt Valley, MD
• 11/2024 → Present
  Lpl Enterprise, Llc
  Hunt Valley, MD

Previous Registrations

• 2006-09-08 → 2024-11-14
  Pruco Securities, Llc.
  Hunt Valley, MD
  North Bethesda, MD
  Hunt Valley, MD
  North Bethesda, MD
  Hunt Valley, MD
• 2005-11-01 → 2006-02-08
  Morgan Stanley Dw Inc.
  Lutherville, MD

Other Businesses

1) 08/22/2024- Frame Wealth Partners- DBA for LPL Business (entity for LPL business)- Comprehensive financial planning and the selling of insurance and investment related products.- INV Related- At Hunt Valley, MD- Start date 09/01/2023- 100 HRS MTH- 100 HRS During Trading

Exams

• S66 Uniform Combined State Law Examination
  2005-10-28

Designations

• Certified Financial Planner

Other Names

• James J. Duffy
• James J. Duffy