Mark Gerald Duffy

Employer firm

Robert W. Baird & Co. Incorporated CRD 8158

$394B regulatory AUM 19,985 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting

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

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

Current Employers

Employment History

• 12/2014 → 12/2020
  Bok Financial Securities, Inc.
  Denver, CO
• 12/2014 → 12/2020
  Bokf, Na
  Denver, CO
• 12/2020 → Present
  Robert W Baird & Co Inc
  Denver, CO

Previous Registrations

• 2014-12-15 → 2020-12-17
  Bok Financial Securities, Inc.
  Denver, CO
  Denver, CO
  Englewood, CO
• 2004-10-21 → 2014-12-17
  Equitable Advisors, Llc
  Lakewood, CO
  Denver, CO

Other Businesses

NAME: MARK DUFFY & ASSOCIATES, LLC ADDRESS: 8827 SURREY DRIVE, EVERGREEN, CO 80439 INVESTMENT RELATED (Y/N): N START DATE: 04/2004 POSITION HELD: PRINCIPAL NATURE OF OUTSIDE BUSINESS: CONSULTING HRS/MO: 4 HRS/MO DURING SECURITIES TRADING: 0 BRIEF DESCRIPTION OF DUTIES: PROVIDE ADVICE AND DOCUMENTATION REVIEW TO BUSINESS OWNERS

Exams

• S66 Uniform Combined State Law Examination
  2004-04-30