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John Denis Duffy

Intent Advice, Inc.

Yarmouth, ME

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Current Employers
Intent Advice, Inc.

106 Lafayette Street, Suite 3 Lower Falls Landing, Yarmouth, ME 04096-6125 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED_RES 2024-04-25
  • ME RA
    APPROVED_RES
    Since 2024-04-25

Branch Locations

106 Lafayette Street, Suite 3 Lower Falls Landing, Yarmouth, ME 04096-6125 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Purshe Kaplan Sterling Investments Albany NY 05/2015 08/2019
Cribstone Capital Management, Llc Cumberland Foreside ME 05/2015 08/2019
Broad Cove Capital Cumberland Foreside ME 09/2019 10/2021
Unemployed Yarmouth ME 10/2021 01/2022
Intent Advice, Inc. Yarmouth ME 09/2022 12/2023
Intent Advice, Inc. Yarmouth ME 01/2024 04/2024
Intent Advice, Inc. Yarmouth ME 01/2022 09/2022
Intent Advice, Inc. Yarmouth ME 04/2024 Present
  • 05/2015 → 08/2019
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 05/2015 → 08/2019
    Cribstone Capital Management, Llc
    Cumberland Foreside, ME
  • 09/2019 → 10/2021
    Broad Cove Capital
    Cumberland Foreside, ME
  • 10/2021 → 01/2022
    Unemployed
    Yarmouth, ME
  • 09/2022 → 12/2023
    Intent Advice, Inc.
    Yarmouth, ME
  • 01/2024 → 04/2024
    Intent Advice, Inc.
    Yarmouth, ME
  • 01/2022 → 09/2022
    Intent Advice, Inc.
    Yarmouth, ME
  • 04/2024 → Present
    Intent Advice, Inc.
    Yarmouth, ME
Previous Registrations
  • 2022-09-23 → 2023-12-31
    Intent Advice, Inc.
    Yarmouth, ME
  • 2019-09-10 → 2021-11-10
    Broad Cove Capital
    Cumberland Foreside, ME
  • 2015-05-07 → 2019-08-15
    Cribstone Capital Management, Llc
    Cumberland Foreside, ME
    Brunswick, ME
  • 2008-10-10 → 2015-05-14
    Lpl Financial Llc
    Cumberland Foreside, ME
    San Diego, CA
    Cumberland Foreside, ME
  • 2008-01-01 → 2008-10-30
    Wells Fargo Clearing Services, Llc
    Portland, ME
  • 2002-08-22 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Portland, ME
    St. Louis, MO
    Portland, ME
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-03
S63 Uniform Securities Agent State Law Examination 1997-10-03
  • S66 Uniform Combined State Law Examination
    2002-08-03
  • S63 Uniform Securities Agent State Law Examination
    1997-10-03
Other Names
  • John D. Duffy
  • John Duffy

View on SEC IAPD

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HARPSWELL CAPITAL ADVISORS, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
EDWARD JONES

Other Investors

TIMOTHY WADE FULTON
JOHN EDWARD CONNOLLY
DAVID RICHARD GARDNER
THOMAS ANDREW EDGAR
JOSEPH SCOTT HERSEY
TIMOTHY BENJAMIN WYAND
NATHAN ROBERT WALLER
BRETT PAYNE

Other Offices

LPL FINANCIAL LLC · YARMOUTH, ME
AMERIPRISE FINANCIAL SERVICES, LLC · YARMOUTH, ME
FLAGSHIP HARBOR ADVISORS, LLC · Yarmouth, ME
FLAGSHIP HARBOR ADVISORS, LLC · Yarmouth, ME
TD PRIVATE CLIENT WEALTH LLC · Yarmouth, ME
MAIDEN COVE CAPITAL · YARMOUTH, ME
HARPSWELL CAPITAL ADVISORS, LLC · YARMOUTH, ME
STATE FARM INVESTMENT MANAGEMENT CORP. · YARMOUTH, ME

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