Paul E. Duffy

FIRST SOUTHERN

Miami, FL 33131

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CRD#: 2227111

Professional summary

Paul Edward Duffy is a registered financial professional currently at FIRST SOUTHERN, LLC located in Miami, Florida.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1996. Paul has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Paul Edward Duffy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 29, 2024 - Present

FIRST SOUTHERN, LLC

Office #1: 777 Brickell Ave Suite 522, Miami, FL 33131

CRD#: 282756

Miami, FL

Past

August 30, 2017 - January 13, 2020

INSIGNEO ADVISORY SERVICES, LLC

RIA

CRD#: 282589

MIAMI, FL

Past

August 4, 2017 - January 13, 2020

INSIGNEO SECURITIES, LLC

CRD#: 29249

MIAMI, FL

Past

January 5, 2009 - December 31, 2018

NORTHEAST ASSET MANAGEMENT LLC

RIA

CRD#: 117567

MIAMI, FL

Past

July 22, 2008 - December 31, 2018

NORTHEAST SECURITIES, LLC

CRD#: 25996

MIAMI, FL

Past

April 13, 2004 - July 8, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CORAL GABLES, FL

Past

July 1, 2003 - July 8, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CORAL GABLES, FL

Past

September 11, 1996 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(9/24/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/23/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

FIRST SOUTHERN, LLC

ESH CAPITAL, LLC | GLOBAL SILICON VALLEY SECURITIES LLC | FIRST SOUTHERN, LLC

CRD#: 282756 / SEC#: , 8-69733

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772

Mailing Address

2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772

Phone number

(770) 777-9373

Established

Puerto Rico since 02/24/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BENT, INC.	SHAREHOLDER
HEEHAW INC.	SHAREHOLDER
VSPR, INC.	SHAREHOLDER
PAGAN MARXUACH, RAFAEL ANTONIO	OWNER	2863850
HAWK, WILLIAM HEATH	PRESIDENT/CEO/MANAGING MEMBER	2494928
JACKELS, STEPHANIE KANE	FINOP/PFO	5928877
JONES, SHARON DOSTER	CHIEF COMPLIANCE OFFICER	3124470
SFYRIS, VASILEIOS ALEXIOS	MANAGING MEMBER/POO	4026992

Disclosures

Regulatory Event

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.

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Paul E. Duffy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Edward Duffy's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSIGNEO ADVISORY SERVICES, LLC

INSIGNEO SECURITIES, LLC

NORTHEAST ASSET MANAGEMENT LLC

NORTHEAST SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2003

Series 63

Date: 12/13/1996

SIE

Date: 10/1/2018

Series 7

Date: 9/10/1996

Series 8

Date: 10/23/1998

FINRA

Current Firm

FIRST SOUTHERN, LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST SOUTHERN, LLC

TRUST BUT VERIFY

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