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TD

Thomas J. Duffy

GRANT WILLIAMS L.P.
Philadelphia, PA 19103
Some features on this profile are disabled
CRD#: 4233072
TD

Professional summary

Thomas James Duffy is a registered financial professional currently at GRANT WILLIAMS L.P. located in Philadelphia, Pennsylvania.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Thomas James Duffy's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 30, 2019 - Present

GRANT WILLIAMS L.P.

Office #1: 1650 Market Street 53rd Floor, Philadelphia, PA 19103
BD
CRD#: 45961
Philadelphia, PA
Past

June 6, 2008 - September 11, 2018

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
PRINCETON, NJ
Past

June 6, 2008 - September 11, 2018

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
PRINCETON, NJ
Past

March 25, 2003 - June 2, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ
Past

February 14, 2003 - June 2, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

May 1, 2002 - November 15, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SOMERSET, NJ
Past

April 25, 2001 - November 15, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 5, 2000 - March 5, 2001

ICAPITAL MARKETS LLC

BD
CRD#: 5209
OMAHA, NE

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
Pennsylvania
(10/30/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/29/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/23/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/11/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/18/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/7/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GW
GRANT WILLIAMS L.P.
GRANT WILLIAMS L.P. | GWLP

CRD#: 45961 / SEC#: , 8-51249

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1650 Market Street 53rd Floor, Philadelphia, PA 19103
Mailing Address
1650 Market Street 53rd Floor, Philadelphia, PA 19103
Phone number
(215) 432-7579
Established
Pennsylvania since 06/26/1998
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
PORTFOLIO SOLUTIONS LLCSHAREHOLDER
GRANT, STEVEN TAYLORPRESIDENT, CEO, CCO, CFO826826
GRW, INC.GENERAL PARTNER

Disclosures

Regulatory Event2

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.

Company Information

GRANT WILLIAMS L.P.

CRD#: 45961Philadelphia, PA 19103

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