Our Company

Daniel P Duff And Associates Building


Our professionals at DUFF & ASSOCIATES, Specialize in Estate and Retirement Planning for individuals and businesses. We assist serious investors in the accumulation and preservation of wealth by offering a full range of estate and financial services. Our sole purpose is to help you attain your financial goals. However, you must determine what you hope to achieve financially. After all, if you have no destination in mind, any road will do. Our solution oriented, team approach to client goals is a benefit to investors, not in only in Maine, but many states across the country. Independent means we are objective and unbiased in helping you select appropriate strategies to meet your dreams.

RAYMOND JAMES FINANCIAL SERVICES, INC., (RJFS) member FINRA/SIPC, was carefully selected by Daniel Duff in 1986, and remains one of the nation's premier firms for independent financial advisors like  Thomas Duff and Joel West. RJFS is where our financial advisors (i.e. Tom and Joel) position their various regulatory licenses while providing clients with almost unlimited choices of investments, insurance and tax-advantaged financial products and services. Uniquely, RJFS has no incentives, requirements, or expectations of their representatives offering any proprietary products. In addition to a nearly unlimited array of financial products and services.

OUR COMPANY IS COMMITTED to excellence in customer service and uncompromising attention to detail as we strive to help you achieve your personal financial goals. Your financial future is as important to us as it is to you.

WE OFFER portfolio services for individuals, pension plans, retirement plans, trust, endowments and foundations. Our dedicated professionals and support staff work diligently to provide careful review of your current financial situation, your risk tolerance, your personal priorities, and your time horizon suggesting appropriate financial strategies to reach your goals.

WE HELP OUR CLIENTS plan for their financial future, especially retirement. We develop retirement plans for business owners, and we help high net worth investors manage their money to address the potential ravages of taxes and inflation.

OUR RELATIONSHIP WITH EVERY CLIENT begins with an in-depth evaluation of your current financial situation. We work with you to determine your overall financial objectives and then focus on your specific goals and risk tolerance. In an ever-changing economic climate, with ups and downs in the various markets, we advocate investing over the long-term, focused on your goals.

CUSTOMER SERVICE is our watchword. We keep in touch with you through regular newsletters, timely updates, quarterly reviews face-to-face in our office (upon request), and information when you want it, as accessible as a phone call. We offer easy access to your account information through the RJFS website. We welcome your inquiries and strive to serve your needs quickly, with careful attention to detail. Above all, we value the trust our clients place in us and assure complete confidentiality.

Raymond James & Associates is a member of the Securities Investor Protection Corporation (SIPC), which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash).  An explanatory brochure is available upon request or at sipc.org or by calling (202) 371-8300.

Raymond James has purchased excess SIPC coverage through various syndicates of Lloyd's, a London-based firm.  Excess SIPC is fully protected by the Lloyd's trust funds and Lloyd"s Central Fund.  The additional protection currently provided has an aggregate firm limit of $750 million, including a sub-limit of $1.9 million per customer for cash above basic SIPC for the wrongful abstraction of customer funds.

Account protection applies when a SIPC-member firm fails financially and is unable to meet obligations to securities clients, but it does not protect against market fluctuations.


Check the background of this financial professional on FINRA's BrokerCheck
Check the background of this financial professional on FINRA's BrokerCheck