Thomas Joseph Duffner

Current Employers

Employment History

• 06/2006 → 01/2024
  Woodbury Financial Services
  Oak Brook, IL
• 01/2024 → Present
  Osaic Wealth, Inc.
  Palos Heights, IL

Previous Registrations

• 2006-06-09 → 2024-01-19
  Woodbury Financial Services, Inc.
  Palos Heights, IL
  Oakbrook Terrace, IL
  Palos Heights, IL
• 2005-06-01 → 2006-06-16
  Equitable Advisors, Llc
  Oakbrook, IL
  Oak Brook, IL
• 2000-01-24 → 2005-06-01
  Mony Securities Corporation
  Oakbrook, IL

Other Businesses

1) DUFFNER FINANCIAL GROUP, LTD - DBA POSITION: The purpose of this OBA is to disclose the DBA NATURE: S - Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2006 ADDRESS: 12400 S Harlem Ave, Ste # 205, Palos Heights IL 60463, United States DESCRIPTION: The purpose of this OBA is to disclose the DBA 2) HEALTH BENEFITS CONSULTANTS, INC POSITION: Owner NATURE: HEALTH BENEFITS CONSULTANTS, INC; NON INVT RELATED; 12400 S HARLEM AVE, PALOS HEIGHTS, IL 60463; GROUP HEALTH INS SALES; OWNER; START 01/01/1989; 20HR/MO; 5HR/MO DURING TRADING; GROUP HEALTH INSURANCE SALES. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1989 ADDRESS: 12400 S Harlem Ave, Ste # 205, Palos Heights IL 60463, United States DESCRIPTION: GROUP HEALTH INSURANCE SALES

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-10-18
• S63 Uniform Securities Agent State Law Examination
  1991-11-08

Designations