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Robert James Duffy

Equitable Advisors, LLC

Lake Forest, CA

Irvine, CA

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Current Employers
Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2007-05-25
CA RA APPROVED 2005-11-14
  • TX RA
    APPROVED
    Since 2007-05-25
  • CA RA
    APPROVED
    Since 2005-11-14

Branch Locations

Lake Forest, CA • United States

2050 Main Street Suite 520, Irvine, CA 92614 • 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
Axa Advisors, Llc New York NY 09/2005 06/2020
Equitable Advisors, Llc New York NY 09/2005 Present
Previous Registrations
  • 1997-07-08 → 2005-08-29
    Morgan Stanley Dw Inc.
    Laguna Woods, CA
Other Businesses

1. Investment Real Estate owner 2. Outside Fixed Business 3. Co-Trustee for own family trust

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-15
S63 Uniform Securities Agent State Law Examination 1995-11-09
  • S65 Uniform Investment Adviser Law Examination
    1995-11-15
  • S63 Uniform Securities Agent State Law Examination
    1995-11-09
Other Names
  • Bob Duffy

View on SEC IAPD

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