Sean P. Duffy
Professional summary
Sean Philip Duffy, who also goes by Sean Phillip Duffy, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in New York, New York.
Sean is registered as a RR (Registered Representative) and started their career in finance in 1982. Sean has worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Philip Duffy's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2004 - Present
SIEBERT WILLIAMS SHANK & CO., LLC
Office #1: 100 Wall Street 18th Floor, New York, NY 10005Office #2: 82 East Allendale Road Suite 2a, Saddle River, NJ 07458March 19, 2001 - April 30, 2004
LOOP CAPITAL MARKETS LLC
August 10, 2000 - February 1, 2001
INTER-DEALER BROKERS LLC
March 6, 1990 - July 25, 2000
WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC.
September 1, 1989 - February 15, 1990
PRINTON, KANE GROUP, INC.
June 23, 1988 - September 1, 1989
PRINTON, KANE GOVERNMENT SECURITIES, INC.
March 11, 1988 - July 16, 1988
PRINTON, KANE GOVERNMENT SECURITIES, L.P.
March 11, 1988 - September 1, 1989
PRINTON KANE & CO., L.P.
February 25, 1982 - July 13, 1987
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
(3/31/2005)
(2/7/2005)
(6/3/2004)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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