Suitability Complaint Against Denver Advisor William Duffy

Lone Tree, Colorado financial advisor William Duffy (CRD# 6726333) is the recipient of multiple investor complaints alleging he provided unsuitable advice. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Innovation Partners, Sharenett Securities, and Direct Source Wealth Advisory, and that he does business as WD Wealth Strategies.

Mr. Duffy’s BrokerCheck report discloses two investor complaints. The most recent, filed in October 2022, alleges that as a representative of Emerson Equity, he recommended unsuitable investments. The pending complaint alleges damages between $100,000 and $500,000.

An earlier investor complaint, filed in 2021, alleged that as an Emerson Equity representative, he breached his fiduciary duty and recommended unsuitable investments. In February 2022 the complaint reached a settlement of $10,100.

According to the Financial Industry Regulatory Authority, William Duffy holds five years of securities industry experience. Based in Lone Tree, Colorado, he has been registered with Innovation Partners, Sharenett Securities, and Direct Source Wealth Advisory since 2022, doing business as WD Wealth Partners. (He is registered with Innovation Partners’ office in Charlotte, North Carolina.) His past registrations include Emerson Equity (Lone Tree, Colorado; 2019-2022), Accelerated Wealth Advisors (Lone Tree, Colorado; 2018-2021), Emerson Equity (Denver, Colorado; 2016-2018), and Kingstone Capital Partners (Commerce City, Colorado; 2016-2018). His credentials include the passage of five securities industry qualifying exams: the Direct Participation Programs Representative Examination, or Series 22; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He holds 53 state licenses. (Information current as of October 28, 2022.)

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