Michael Duffy

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2026-05-12

MA RA
APPROVED

Since 2026-05-12

Branch Locations

50 Braintree Hill Office Pk Suite 206, Braintree, MA 02184 • 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

Organization	City	State	From	To
Rex Capital Advisors	Providence	RI	07/2014	02/2018
Wellington Management Llp	Boston	MA	02/2018	09/2022
Lexington Financial Inc	Braintree	MA	09/2022	10/2024
Commonwealth Financial Network	Waltham	MA	10/2024	04/2026
Lexington Financial, Inc.	Braintree	MA	10/2024	Present
Cetera Wealth Services, Llc	El Segundo	CA	04/2026	Present
Cetera Investment Advisers Llc	Schaumburg	IL	04/2026	Present

07/2014 → 02/2018

Rex Capital Advisors

Providence, RI
02/2018 → 09/2022

Wellington Management Llp

Boston, MA
09/2022 → 10/2024

Lexington Financial Inc

Braintree, MA
10/2024 → 04/2026

Commonwealth Financial Network

Waltham, MA
10/2024 → Present

Lexington Financial, Inc.

Braintree, MA
04/2026 → Present

Cetera Wealth Services, Llc

El Segundo, CA
04/2026 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2023-01-11 → 2026-05-04

Commonwealth Financial Network

Braintree, MA

Duxbury, MA

Other Businesses

1. NAME OF OTHER BUSINESS: LEXINGTON FINANCIAL, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 05/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: SERVICING CLIENTS, TRADING CLIENT ACCOUNTS ON ADMINISTRATIVE BASIS, MAKING PORTFOLIO RECOMMENDATIONS TO ADVISOR;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-12-02
S63	Uniform Securities Agent State Law Examination	2013-07-23

S66 Uniform Combined State Law Examination

2022-12-02
S63 Uniform Securities Agent State Law Examination

2013-07-23

Designations

Other Names

Michael Gerard Duffy
Mike Gerard Duffy
Mikey Gerard Duffy

View on SEC IAPD