Michael D. Duffy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Donald Duffy was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 7 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1998 - August 3, 1999
COWEN PRIME SERVICES TRADING LLC
May 1, 1998 - May 19, 2000
PREFERREDTRADE, INC.
March 11, 1996 - May 21, 1997
BANCAMERICA SECURITIES, INC.
June 21, 1994 - March 11, 1996
BA INVESTMENT SERVICES, INC.
May 19, 1986 - July 29, 1992
CHARLES SCHWAB & CO., INC.
June 30, 1983 - September 26, 1984
WALDRON & CO., INC.
September 24, 1981 - June 2, 1983
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 2/1/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COWEN PRIME SERVICES TRADING LLC
CRD#: 23857 / SEC#: , 8-40756
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN PB HOLDINGS LLC | DIRECT PARENT AND MEMBER | |
| BYRNE, WILLIAM FRANCIS | MANAGING DIRECTOR TRADING | 2152584 |
| CHARNEY, DANIEL S. | CHIEF EXECUTIVE OFFICER | 2158255 |
| COHEN, STEVEN ANDREW | CHIEF COMPLIANCE OFFICER | 2218249 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER | 1281617 |
| MARTIN, GEOFF JOSEPH | ROP | 4055156 |
| SIMMONS, JAMES ROBERT | CHIEF FINANCIAL OFFICER | 1327561 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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