DUFFY GERARD ELLIOTT

DUFFY GERARD ELLIOTT is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 1225 JOHNSON FERRY RD STE 600, MARIETTA, GA, 30068.

DUFFY GERARD ELLIOTT has worked at CETERA ADVISORS LLC since February 08, 2018

Disclosure History

DUFFY GERARD ELLIOTT has 1 Disclosure Event(s).

Date: September 11, 2001
Category: Regulatory
Initiated By: STATE OF GEORGIA INSURANCE COMMISSION.
Allegations: FAILURE TO DISCLOSE1. I PLEAD GUILTY TO A MISDEMEANOR DUI (DRIVING UNDER THE INFLUENCE OF ALCOHOL) OCCURRING ON SEPTEMBER 23,1978. DISCHARGE MARCH 1979.2. I PLEAD GUILTY TO A MISDEAMEANOR DUI OCCURRING SEPTEMBER 18,1994. DICHARGE OCTOBER 18, 1994.SINCE THE SECOND INCIDENT, I HAVE ABSTAINED FROM ALCOHOL ALL TOGETHER. ALL FINES HAVE BEEN PAID AND ALL COMMUNITY SERVICE AND PROBATIONARY PERIODS HAVE BEEN SERVED.ADDITIONAL DISCLOSURE.ON SEPTEMBER 11,2001 AT THE INSTRUCTION OF MY EMPLOYER, I AGREED TO A CONSENT ORDER AND PAID A $300 FINE FOR FAILURE TO DISCLOSE A PREVIOUS CRIMINAL PROCEEDING IN APPLICATION FOR A LICENSE. THIS CRIMINAL PROCEEDING WAS ITEM "1". DICLOSE ABOVE. IT WAS ORGINALLY LEFT OFF MY STATE OF GEORGIA INSURANCE LICENSE APPLICATION IN ERROR.THE FINE WAS PAID AND THE STATE OF GEORGIA INSURANCE OFFICE AGREED TO ISSUE MY INSURANCE LICENSE. NO OTHER ACTION WAS REQUIRED.
Resolution: Settled SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $300.00 Sanction Details: $300 FINE PAID 09/11/2001.

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