Brian A. Duffy

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CRD#: 3002253

Professional summary

Brian A Duffy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Brian had worked at 12 firms, which includes KIMBERLY SECURITIES INC., EKN FINANCIAL SERVICES INC., EHRENKRANTZ KING NUSSBAUM, KSH INVESTMENT GROUP INC., LADENBURG CAPITAL MANAGEMENT INC., DELTA ASSET MANAGEMENT COMPANY LLC, MORGAN GRANT CAPITAL CORP., LADENBURG THALMANN & CO. INC., WIN CAPITAL CORP., BARRON CHASE SECURITIES INC., KLEIN MAUS & SHIRE INC., ROYCE INVESTMENT GROUP INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Brian Duffy

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 19, 2002 - February 20, 2002

KIMBERLY SECURITIES, INC.

CRD#: 19241

HUNTINGTON, NY

Past

December 21, 2001 - March 19, 2002

EKN FINANCIAL SERVICES INC.

CRD#: 113525

MELVILLE, NY

Past

November 5, 2001 - December 21, 2001

EHRENKRANTZ KING NUSSBAUM

CRD#: 31140

NEW YORK, NY

Past

September 18, 2001 - October 30, 2001

KSH INVESTMENT GROUP, INC.

CRD#: 41817

GREAT NECK, NY

Past

March 26, 2001 - September 4, 2001

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

Past

March 2, 2000 - April 25, 2001

DELTA ASSET MANAGEMENT COMPANY, LLC

CRD#: 39923

MINEOLA, NY

Past

September 16, 1999 - December 4, 1999

MORGAN GRANT CAPITAL CORP.

CRD#: 28595

GARDEN CITY, NY

Past

March 16, 1999 - May 12, 1999

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

January 12, 1999 - January 26, 1999

WIN CAPITAL CORP.

CRD#: 36172

BAYVILLE, NY

Past

September 23, 1998 - November 20, 1998

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Past

June 9, 1998 - September 16, 1998

KLEIN, MAUS & SHIRE INC.

CRD#: 20527

NEW YORK, NY

Past

April 23, 1998 - July 14, 1998

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 4/30/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/22/1998

General Securities Representative Examination

Current Firm

KIMBERLY SECURITIES, INC.

FRENCH, SCHOFIELD & PFEIFER INVESTMENTS, INC. | SCHOFIELD INVESTMENTS, INC. | KIMBERLY SECURITIES, INC. | FRENCH, SCHOFIELD INVESTMENTS, INC.

CRD#: 19241 / SEC#: , 8-37321

Terminated by SEC on 11/16/2002

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Contact information

Main Address

Mailing Address

Phone number

Established

Pennsylvania since 11/03/1986

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
KIMBERLY SECURITIES, LLC	PARENT
BRAFF, HOWARD	VICE PRESIDENT,GSP, ROP, CROP, SROP	1161062
DAVISON, MICHAEL	FINOP	1984185
KAWAS, JOHN CHARLES JR	GSP, COMPLIANCE OFFICER	265491
MISARACA, KIMBERLY JEAN	PRESIDENT, SECRETARY, TREASURER, GSP

Disclosures

Regulatory Event	2
Arbitration	6

Red Flags

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Firm Stability Insights

Brian A. Duffy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EKN FINANCIAL SERVICES INC.

EHRENKRANTZ KING NUSSBAUM

KSH INVESTMENT GROUP, INC.

LADENBURG CAPITAL MANAGEMENT INC.

DELTA ASSET MANAGEMENT COMPANY, LLC

MORGAN GRANT CAPITAL CORP.

LADENBURG THALMANN & CO. INC.

WIN CAPITAL CORP.

BARRON CHASE SECURITIES, INC.

KLEIN, MAUS & SHIRE INC.

ROYCE INVESTMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/30/1998

Series 7

Date: 4/22/1998

Current Firm

KIMBERLY SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KIMBERLY SECURITIES, INC.

TRUST BUT VERIFY

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