James O. 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.
James Oneill Duffy III, who also goes by James Oneill Duffy, James Oneill Duffy III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 55, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2017 - September 14, 2022
FORESIDE FUND SERVICES, LLC
September 10, 2015 - March 20, 2017
VAN ECK SECURITIES CORPORATION
November 19, 2009 - January 13, 2010
EQUITABLE ADVISORS, LLC
September 1, 2006 - November 2, 2006
LABRANCHE FINANCIAL SERVICES, LLC
December 15, 2005 - September 30, 2009
BAY CREST PARTNERS, LLC
February 15, 2005 - December 7, 2005
ROBERT G. PEARS & CO., INC.
September 26, 2003 - April 1, 2004
COMPASS EXECUTION SERVICES, LLC
September 26, 2003 - March 1, 2005
EQUITEC PROPRIETARY MARKETS, LLC
June 12, 2001 - April 8, 2003
HAPOALIM SECURITIES USA, INC.
November 15, 1999 - June 19, 2001
CIBC WORLD MARKETS CORP.
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 55
Date: 4/28/2007
Limited Representative-Equity Trader ExamCurrent Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
