James Joseph Duddey

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (7)

Series 65Series 63Series 22TOSeries 99TOSIESeries 7Series 6

Registered states (53)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

32

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Fidelity Brokerage Services LLC

Firm CRD

7784

SEC number

Not yet retrieved from the source record

Assets under management

Not yet retrieved from the source record

Website

Not yet retrieved from the source record

Phone

Not yet retrieved from the source record

Firm location

Not yet retrieved from the source record

Employment history (26)

From the source registration record · current first

• Strategic Advisers LLCCurrent

  Miami, FL · IA capacity
  Mar 31, 2025 → present
• Fidelity Brokerage Services LLCCurrent

  Miami, FL · BD capacity
  Oct 31, 2022 → present
• Fidelity Brokerage Services LLCCurrent

  Smithfield, RI · BC capacity
  start not retrieved → present
• Fidelity Personal And Workplace Advisors

  IA capacity
  Dec 6, 2022 → Mar 31, 2025
• Ip Financial Advisory Services LLC

  IA capacity
  Dec 20, 2021 → Oct 26, 2022
• Innovation Partners LLC

  BD capacity
  Dec 15, 2021 → Oct 26, 2022
• Changepath, LLC

  IA capacity
  Oct 29, 2020 → Dec 9, 2021
• Mit Associates, LLC

  BD capacity
  May 30, 2019 → Aug 2, 2021
• Partnervest Advisory Services LLC

  IA capacity
  Jan 28, 2019 → Nov 9, 2020
• Elysian Capital

  IA capacity
  Oct 23, 2018 → Apr 10, 2019
• U.S. Sterling Securities, Inc.

  BD capacity
  May 29, 2018 → Aug 15, 2018
• Enspire Investments

  BD capacity
  Feb 4, 2016 → Oct 12, 2016
• Cedar Capital, LLC

  IA capacity
  Feb 10, 2015 → Jan 4, 2016
• Foreside Fund Services, LLC

  BD capacity
  Oct 27, 2014 → Dec 28, 2015
• Good Harbor Financial

  IA capacity
  Jun 13, 2014 → Jan 2, 2015
• Investment Planners, Inc.

  BD capacity
  May 26, 2011 → Nov 4, 2014
• Naples Ais, Inc.

  BD capacity
  Feb 24, 2011 → May 25, 2011
• Quasar Distributors, LLC

  BD capacity
  Feb 9, 2009 → Dec 31, 2010
• Transamerica Capital, Inc.

  BD capacity
  Aug 28, 2007 → Jul 31, 2008
• Calamos Financial Services LLC

  BD capacity
  Sep 20, 2006 → Nov 3, 2006
• Credit Suisse Asset Management Securities, Inc.

  BD capacity
  Apr 26, 2001 → Sep 21, 2006
• Guardian Investor Services Corporation

  BD capacity
  May 26, 2000 → Jan 4, 2001
• Liberty Funds Distributor, Inc.

  BD capacity
  Apr 4, 2000 → Apr 24, 2000
• Federated Securities Corp.

  BD capacity
  Nov 27, 1996 → Mar 8, 2000
• Gna Securities, Inc.

  BD capacity
  May 4, 1995 → Sep 18, 1996
• Ivy Mackenzie Distributors, Inc.

  BD capacity
  Sep 13, 1994 → May 1, 1995

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.