WD
William P. Duffy
TD SECURITIES (USA) LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 3258948
WD
Professional summary
William Patrick Duffy, who also goes by Bill Duffy, is a registered financial professional currently at TD SECURITIES (USA) LLC located in San Francisco, California.
William is registered as a RR (Registered Representative) and started their career in finance in 1999. William has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bill 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.
CRS (Client Relationship Summary) - BD
Click below to view William Patrick Duffy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 12, 2022 - Present
TD SECURITIES (USA) LLC
Office #1: 1 Maritime Plaza 9th Floor, San Francisco, CA 94111BD
CRD#: 18476
San Francisco, CA
Past
April 6, 2020 - October 26, 2022
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
SAN FRANCISCO, CA
Past
January 17, 2012 - June 18, 2020
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SAN FRANCISCO, CA
Past
July 7, 2009 - December 8, 2011
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
SAN FRANCISCO, CA
Past
February 10, 2009 - July 8, 2009
SANDLER, O'NEILL & PARTNERS, L.P.
BD
CRD#: 23328
SAN FRANCISCO, CA
Past
April 10, 2003 - December 10, 2008
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
SAN FRANCISCO, CA
Past
April 7, 2003 - April 7, 2003
STONE & YOUNGBERG LLC
BD
CRD#: 795
SAN FRANCISCO, CA
Past
September 10, 1999 - August 8, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/12/2022)
RR
Alaska(12/12/2022)
RR
Arizona(12/12/2022)
RR
Arkansas(12/12/2022)
RR
California(12/12/2022)
RR
Colorado(12/12/2022)
RR
Connecticut(12/12/2022)
RR
Delaware(12/12/2022)
RR
District of Columbia(12/12/2022)
RR
Florida(12/12/2022)
RR
Georgia(12/12/2022)
RR
Hawaii(12/12/2022)
RR
Idaho(12/12/2022)
RR
Illinois(12/12/2022)
RR
Indiana(12/12/2022)
RR
Iowa(12/12/2022)
RR
Kansas(12/12/2022)
RR
Kentucky(12/12/2022)
RR
Louisiana(12/12/2022)
RR
Maine(12/12/2022)
RR
Maryland(12/12/2022)
RR
Massachusetts(12/12/2022)
RR
Michigan(12/12/2022)
RR
Minnesota(12/12/2022)
RR
Mississippi(12/12/2022)
RR
Missouri(12/12/2022)
RR
Montana(12/12/2022)
RR
Nebraska(12/12/2022)
RR
Nevada(12/12/2022)
RR
New Hampshire(12/12/2022)
RR
New Jersey(12/12/2022)
RR
New Mexico(12/12/2022)
RR
New York(12/12/2022)
RR
North Carolina(12/12/2022)
RR
North Dakota(12/12/2022)
RR
Ohio(12/12/2022)
RR
Oklahoma(12/12/2022)
RR
Oregon(12/12/2022)
RR
Pennsylvania(12/12/2022)
RR
Puerto Rico(12/12/2022)
RR
Rhode Island(12/12/2022)
RR
South Carolina(12/12/2022)
RR
South Dakota(12/12/2022)
RR
Tennessee(12/12/2022)
RR
Texas(12/12/2022)
RR
Utah(12/12/2022)
RR
Vermont(12/12/2022)
RR
Virginia(12/12/2022)
RR
Washington(12/12/2022)
RR
West Virginia(12/12/2022)
RR
Wisconsin(12/12/2022)
RR
Wyoming(12/12/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TS
TD SECURITIES (USA) LLC
AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.
CRD#: 18476 / SEC#: , 8-36747
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Vanderbilt Avenue, New York, NY 10017
Mailing Address
One Vanderbilt Avenue, New York, NY 10017
Phone number
(212) 827-7000
Established
Delaware since 11/01/2004
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 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.
