Kathleen E. Duffy

APELLA WEALTH

McLean, VA

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CRD#: 3023588

Professional summary

Kathleen Elizabeth Duffy, CFP®, ChFC®, who also goes by Kathy Duffy, is a registered financial advisor currently at APELLA WEALTH located in Mclean, Virginia.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Kathleen has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathy Duffy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Elizabeth Duffy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2004

CRD#: 6321

MINNEAPOLIS, MN

Past

March 24, 1998 - January 5, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

FALLS CHURCH, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

APELLA WEALTH

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(7/15/2025)

IAR

Texas
(7/15/2025)

IAR

Virginia
(9/8/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/23/1998

General Securities Representative Examination

Current Firm

APELLA WEALTH

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 Approved)

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Contact information

Main Address

65 Memorial Drive Suite C340, West Hartford, CT 06107

Mailing Address

Phone number

(860) 785-2260

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APELLA WEALTH PART 2A OCTOBER 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts	19,172
AUM (Assets Under Management)	$ 7,953,076,688

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
03/29/2024	Cover Page	Report
04/30/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Kathleen E. Duffy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Elizabeth Duffy's CRS (Customer Relationship Summary).

Certified licenses

Experience

IFOCUS FINANCIAL, LLC

INDEPENDENCE WEALTH ADVISORS INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

APELLA WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/1998

Series 63

Date: 3/26/1998

Series 7

Date: 3/23/1998

Current Firm

APELLA WEALTH

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

APELLA WEALTH

TRUST BUT VERIFY

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