Deborah A. Duffy
Professional summary
Deborah Ann Duffy was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Deborah is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Deborah had worked at 4 firms, which includes VANDHAM SECURITIES CORP., WG TRADING COMPANY LIMITED PARTNERSHIP, WALSH GREENWOOD & CO., SECURITIES SETTLEMENT CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 1992 - July 6, 1999
VANDHAM SECURITIES CORP.
October 1, 1991 - September 15, 2009
WG TRADING COMPANY LIMITED PARTNERSHIP
April 10, 1991 - December 31, 1992
WALSH, GREENWOOD & CO.
March 6, 1990 - February 5, 1991
SECURITIES SETTLEMENT CORPORATION
June 24, 1987 - February 21, 1990
WALSH, GREENWOOD & CO.
State Registrations and Notice Filings
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Exams
Series 8
Date: 7/29/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VANDHAM SECURITIES CORP.
CRD#: 26258 / SEC#: , 8-42448
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
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