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John Denis Duffy

BROAD COVE CAPITAL·CUMBERLAND FORESIDE, Maine
SIE, Series 6, Series 7, Series 63, Series 6623 years registeredBROAD COVE CAPITAL
62 U.S. ROUTE 1, CUMBERLAND FORESIDE, ME 04110-1338CRD# 2715123Firm CRD# 305393

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
John Denis Duffy · CUMBERLAND FORESIDE, ME
Registration
CRD #2715123 · BROAD COVE CAPITAL · 23 years registered
Brand Profile
Not yet started
01

Career History

INTENT ADVICE, INC.
Apr 2024 – present
STEADFAST PLANNING PARTNERS INC.
Sep 2022 – Dec 2023
YARMOUTH, ME
BROAD COVE CAPITAL
Sep 2019 – Nov 2021
CUMBERLAND FORESIDE, ME
CRIBSTONE CAPITAL MANAGEMENT, LLC
May 2015 – Aug 2019
CUMBERLAND FORESIDE, ME
LPL FINANCIAL LLC
Oct 2008 – May 2015
CUMBERLAND FORESIDE, ME
WACHOVIA SECURITIES, LLC
Jan 2008 – Oct 2008
PORTLAND, ME
A. G. EDWARDS & SONS, INC.
Aug 2002 – Jan 2008
PORTLAND, ME
02

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 7
Series 63
Series 66
Registration record
First registered · August 22, 2002
Years registered · 23
03

Disclosure History

2021Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
BROAD COVE CAPITAL
CRD 305393 · SEC 801-117328
AUM
$185M
Regulatory assets under management
Employees
3
373 client accounts
Services offered by BROAD COVE CAPITAL
Per Form ADV
Portfolio management (individuals)
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
View all advisors at BROAD COVE CAPITAL →
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05

Frequently Asked Questions

What services does John Denis Duffy offer?
John Denis Duffy specializes in Investment Management, Wealth Management. Contact their office in CUMBERLAND FORESIDE, Maine for a consultation.
What are John Denis Duffy's credentials?
John Denis Duffy is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is John Denis Duffy located?
John Denis Duffy is based in CUMBERLAND FORESIDE, Maine, working with BROAD COVE CAPITAL. Their office serves clients in the CUMBERLAND FORESIDE metropolitan area and surrounding communities.
How does John Denis Duffy charge for services?
John Denis Duffy's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is BROAD COVE CAPITAL?
BROAD COVE CAPITAL has approximately 3 employees and manages $185M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Nearby cities in Maine
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Research
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