Elaine F. Duffus
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.
Elaine Frances Duffus, who also goes by Elaine Frances Walczak, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 1998. Elaine had worked at 7 firms and has passed the Series 66, Series 7, Series 53, Series 4 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
August 19, 2011 - March 6, 2012
M&T SECURITIES, INC.
August 19, 2011 - March 6, 2012
M&T SECURITIES, INC.
January 19, 2011 - September 1, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
January 19, 2011 - September 1, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
March 23, 2010 - November 4, 2010
GROVE POINT INVESTMENTS, LLC
March 8, 2010 - November 4, 2010
GROVE POINT INVESTMENTS, LLC
August 1, 2008 - June 30, 2009
NATIONWIDE SECURITIES, LLC
November 7, 2003 - June 30, 2009
NATIONWIDE SECURITIES, LLC
January 26, 2001 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
September 7, 2000 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
December 17, 1999 - August 31, 2000
EMPOWER FINANCIAL SERVICES, INC.
July 27, 1998 - December 17, 1999
NPC SECURITIES, INC.
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
Current Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 1 |
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.
