William M. Duffy
Professional summary
William M Duffy, who also goes by Bill Duffy, is a registered financial professional currently at REGIMENT SECURITIES, LLC. located in Chicago, Illinois.
William is registered as a RR (Registered Representative) and started their career in finance in 2006. William has worked at 6 firms and has passed the Series 63, Series 99TO, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William M Duffy's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 16, 2021 - Present
REGIMENT SECURITIES, LLC.
Office #1: 420 N. Wabash Avenue, Chicago, IL 60611January 25, 2021 - July 23, 2021
EASTGATE SECURITIES, LLC
December 23, 2015 - September 13, 2016
CABRERA CAPITAL MARKETS, LLC
August 17, 2015 - December 18, 2015
E*TRADE FUTURES LLC
September 30, 2006 - December 3, 2014
G1 EXECUTION SERVICES, LLC
February 20, 2006 - September 30, 2006
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES 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
(10/5/2021)
(2/17/2022)
(1/18/2022)
(4/8/2022)
(8/19/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 6/22/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
REGIMENT SECURITIES, LLC.
CRD#: 311302 / SEC#: , 8-70607
Contact information
FINRA licenses (33 States and Territories)
Red Flags
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