Raymond J. Duffy
Professional summary
Raymond James Duffy Jr, who also goes by Raymond James Duffy Jr, Raymond James Duffy, is a registered financial professional currently at DELAWARE DISTRIBUTORS, L.P. located in Philadelphia, Pennsylvania.
Raymond is registered as a RR (Registered Representative) and started their career in finance in 1989. Raymond has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Raymond James Duffy Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2024 - Present
DELAWARE DISTRIBUTORS, L.P.
Office #1: 610 Market St 100 Independence, Philadelphia, PA 19106February 24, 2022 - April 9, 2024
OSAIC FS, INC.
February 24, 2022 - April 9, 2024
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 24, 2022 - April 9, 2024
OSAIC FA, INC.
October 27, 2021 - February 8, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 26, 2018 - February 8, 2022
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
May 16, 2012 - February 8, 2022
PRUCO SECURITIES, LLC.
March 8, 2007 - April 18, 2012
J.P. MORGAN SECURITIES LLC
February 18, 2000 - February 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 1998 - January 28, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 9, 1992 - May 1, 1998
CITICORP INVESTMENT SERVICES
April 3, 1991 - August 28, 1991
H.J. MEYERS & CO., INC.
November 22, 1989 - April 11, 1991
MORGAN STANLEY DW 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
(10/2/2024)
(10/2/2024)
Exams
Series 8
Date: 9/17/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
DELAWARE DISTRIBUTORS, L.P.
CRD#: 14232 / SEC#: , 8-29755
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP") | LIMITED PARTNER OF APPLICANT | |
| IVY DISTRIBUTORS, INC. | LIMITED PARTNER OF APPLICANT | |
| CONNOR, DAVID FORRESTER | DIRECTOR | 4243088 |
| DELAWARE CAPITAL MANAGEMENT, A SERIES OF MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM") | LIMITED PARTNER OF APPLICANT | |
| DELAWARE DISTRIBUTORS, INC. ("DDI") | GENERAL PARTNER OF APPLICANT | |
| GARVEY, THOMAS F | CHIEF COMPLIANCE OFFICER | 2845051 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | FINOP | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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