Michael J. Duffy

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

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

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-12-11
IL	RA	APPROVED	2021-03-30

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pittsburgh	PA	05/2016	12/2016
Bank Of America, N.A.	Pittsburgh	PA	09/2016	12/2016
Bpu Investment Management Inc.	Greensburg	PA	02/2017	12/2018
Jpmorgan Chase Bank, N.A.	Brooklyn	NY	02/2019	03/2021
Jpmorgan Securities, Llc.	Brooklyn	NY	03/2019	03/2021
Morgan Stanley	Chicago	IL	03/2021	Present
Morgan Stanley Private Bank, N.A	New York	NY	09/2023	Present

05/2016 → 12/2016

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pittsburgh, PA
09/2016 → 12/2016

Bank Of America, N.A.

Pittsburgh, PA
02/2017 → 12/2018

Bpu Investment Management Inc.

Greensburg, PA
02/2019 → 03/2021

Jpmorgan Chase Bank, N.A.

Brooklyn, NY
03/2019 → 03/2021

Jpmorgan Securities, Llc.

Brooklyn, NY
03/2021 → Present

Morgan Stanley

Chicago, IL
09/2023 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-02-01

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