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KD

Kevin T. Duffy

CRD#: 1852595
Some features on this profile are disabled
KD
Kevin Thomas Duffy JR.

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.

Kevin Thomas Duffy JR. was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2002. Kevin had worked at 3 firms and has passed the Series 66, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 1, 2014 - August 27, 2014

GUGGENHEIM INVESTOR SERVICES, LLC

BD
CRD#: 30096
NEW YORK, NY
Past

January 13, 2006 - February 14, 2006

GE INVESTMENT DISTRIBUTORS, INC

BD
CRD#: 32087
STAMFORD, CT
Past

August 10, 2005 - October 14, 2005

GE INVESTMENT DISTRIBUTORS, INC

BD
CRD#: 32087
STAMFORD, CT
Past

October 30, 2003 - August 2, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
STAMFORD, CT
Past

February 6, 2002 - August 2, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/26/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/17/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/22/2002
General Securities Sales Supervisor - Options Module Examination

Current Firm

GI
GUGGENHEIM INVESTOR SERVICES, LLC
GUGGENHEIM INVESTMENTS | INTER-ATLANTIC SECURITIES CORPORATION | GUGGENHEIM SECURITIES, LLC | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096 / SEC#: , 8-44742

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
330 Madison Avenue, New York, NY 10017
Mailing Address
330 Madison Avenue, New York, NY 10017
Phone number
(212) 901-9405
Established
Delaware since 12/31/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
GUGGENHEIM FUNDS SERVICES, LLCMEMBER
CHAN, YING ZPRINCIPAL FINANCIAL AND OPERATIONS OFFICER4956885
DILORENZO, DINA MARIEMANAGING EXECUTIVE2664787
SAPERSTEIN, ROBERT ANDREWCHIEF COMPLIANCE OFFICER2567876

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.

Company Information

GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096

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