David J. 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.
David James Duffy, who also goes by David Duffy, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 34, Series 7, Series 3, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2015 - July 18, 2023
STONEX FINANCIAL INC.
October 24, 2012 - July 27, 2015
OPTIONSXPRESS, INC.
November 24, 2010 - October 29, 2012
PRINCIPAL SECURITIES, INC.
November 16, 2010 - October 29, 2012
PRINCIPAL SECURITIES, INC.
October 22, 1990 - March 30, 2005
MORGAN STANLEY & CO. LLC
February 20, 1990 - October 31, 1990
LEHMAN BROTHERS INC.
August 25, 1988 - August 14, 1989
CITICORP SECURITIES, INC.
March 25, 1987 - June 1, 1988
CREDIT SUISSE SECURITIES (USA) 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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