Thomas 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.
Thomas Duffy, who also goes by Thomas James Duffy, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, 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
October 30, 2019 - April 23, 2026
GRANT WILLIAMS L.P.
June 6, 2008 - September 11, 2018
BLACKROCK INVESTMENT MANAGEMENT, LLC
June 6, 2008 - September 11, 2018
BLACKROCK INVESTMENTS, LLC
March 25, 2003 - June 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 2003 - June 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 2002 - November 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2001 - November 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2000 - March 5, 2001
ICAPITAL MARKETS LLC
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
GRANT WILLIAMS L.P.
CRD#: 45961 / SEC#: , 8-51249
Contact information
FINRA licenses (20 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PORTFOLIO SOLUTIONS LLC | SHAREHOLDER | |
| GRANT, STEVEN TAYLOR | PRESIDENT, CEO, CCO, CFO | 826826 |
| GRW, INC. | GENERAL PARTNER |
Disclosures
| Regulatory Event | 2 |
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.
