Jean Duffy

Employer firm

Captrust CRD 175112

$1.24T regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 12/2010 → Present
  Capfinancial Partners Llc (Captrust)
  Raleigh, NC
• 04/2015 → Present
  Capfinancial Securities Llc
  Raleigh, NC

Previous Registrations

• 2006-04-03 → 2010-12-16
  Securian Financial Services, Inc.
  West Des Moines, IA
  Wes Des Moines, IA
• 1999-11-29 → 2007-03-22
  Hma Financial Services, Inc.
  West Des Moines, IA

Other Businesses

Name: Carlisle Area Dollars For Scholars Investment-Related: No. Address: P.O. Box 397 Carlisle, IA 50047 Nature: A Program of Scholarship America, provide scholarships to eligible Carlisle High School graduates to help with the cost of pursuing a higher education Position/Title: Member, Finance Committee Start: 08/2009 Hours/Month: 10 Hours during Market Hours: 0 Duties: serve on Finance committee Name: Ronald McDonald Charities of Central Iowa Investment-Related: No. Address: 1441 Pleasant St., Des Moines, IA 50314 Nature: Established to enrich the quality of life for children and their families Position/Title: Member, Finance Committee Start: 2012 Hours/Month: 1 Hours during Market Hours: 0 Duties: serve on Finance committee Farmers Mutual Hail Insurance Company: No. Nature:Insurance Company Position/Title: Board Member Start Date: 10/1/63; Hours/Month: 10 Hours during Market Hours: 0 Duties: serve on Finance committee

Exams

• S63 Uniform Securities Agent State Law Examination
  1991-03-08

Other Names

• Jean Marie Duffy
• Jean Marie Duffy Ulrichson
• Jean Marie Ulrichson
• Jean Ulrichson
• Jean Duffy
• Jean Duffy Ulrichson
• Jean Duffy Ulrichson