William M. Duffy
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.
William M Duffy, who also goes by Bill Duffy, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2006. William had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2021 - February 25, 2026
REGIMENT SECURITIES, LLC.
January 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 6/22/2006
Limited Representative-Equity Trader ExamCurrent Firm
REGIMENT SECURITIES, LLC.
CRD#: 311302 / SEC#: , 8-70607
Contact information
FINRA licenses (34 States and Territories)
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.
