John L. 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.
John Linus Duffy JR, who also goes by John L Duffy, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2003 - November 3, 2017
MUNICIPAL PORTFOLIO MANAGERS, INC.
November 24, 1997 - July 9, 2002
LEHMAN BROTHERS INC.
November 28, 1994 - July 9, 2002
LEHMAN BROTHERS INC.
January 29, 1986 - November 29, 1994
J.P. MORGAN SECURITIES LLC
December 2, 1985 - January 31, 1986
TUCKER ANTHONY INCORPORATED
July 6, 1982 - December 13, 1985
GABRIELE, HUEGLIN & CASHMAN INC.
December 24, 1981 - June 5, 1982
JII SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MUNICIPAL PORTFOLIO MANAGERS, INC.
CRD#: 120434 / SEC#: 801-61130
Contact information
Red Flags
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