Michael D. Duffner
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.
Michael Dominick Duffner was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 4 firms and has passed the Series 63, 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
September 23, 2010 - January 25, 2013
FIRST EMPIRE SECURITIES, INC.
July 22, 2010 - September 15, 2010
ZEUS FINANCIAL, LLC
August 18, 2000 - January 17, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 21, 1996 - September 8, 1998
TULLETT PREBON FINANCIAL SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
FIRST EMPIRE SECURITIES, INC.
CRD#: 15129 / SEC#: , 8-31701
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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