Theresa C. 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.
Theresa Callahan Duffy, who also goes by Theresa Jeanne Callahan, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1987. Theresa had worked at 2 firms and has passed the Series 65, Series 63, Series 7, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 1987 - May 7, 1998
BLACK & COMPANY, INC.
March 24, 1987 - December 22, 1987
PERSHING LLC
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
Current Firm
BLACK & COMPANY, INC.
CRD#: 95 / SEC#: , 8-7602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACK, LAWRENCE STUART | CHAIRMAN, CEO, DIRECTOR | 22507 |
| MILLER, LAURIE RAYMOND | SHAREHOLDER | 335163 |
| BLACK, JENNIFER ELISE | PRESIDENT, DIRECTOR | 706300 |
| DULEY, DAVID ANDREW | DIRECTOR | 2315753 |
| HESS, DEBORAH JOY | CROP/SROP | 1468659 |
| NIEDERMEYER, TODD MICHAEL | DIRECTOR | 1732585 |
| NIEZGODA, FRANK JAMES | C.O.O., EXEC. VP, FINOP, DIRECTOR, CHIEF COMPLIANCE OFFICER | 720865 |
| REITER, DENNIS BURTON | CHIEF FINANCIAL OFFICER | 373898 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
