Glen G. Duffy

BERENBERG CAPITAL MARKETS LLC

NEW YORK, NY 10020

Some features on this profile are disabled

CRD#: 4377882

Professional summary

Glen Gavin Duffy, who also goes by Glen G Duffy, is a registered financial professional currently at BERENBERG CAPITAL MARKETS LLC located in New York, New York.

Glen is registered as a RR (Registered Representative) and started their career in finance in 2002. Glen has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Glen G 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Glen Gavin 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®

None

Experience

Current

November 29, 2022 - Present

BERENBERG CAPITAL MARKETS LLC

Office #1: 1251 Avenue Of The Americas 53rd Floor, New York, NY 10020

CRD#: 156757

NEW YORK, NY

Past

September 22, 2008 - July 14, 2022

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

June 25, 2002 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(11/29/2022)

Florida
(11/29/2022)

Illinois
(11/29/2022)

Louisiana
(11/29/2022)

Maryland
(11/29/2022)

Massachusetts
(11/29/2022)

New York
(11/29/2022)

Ohio
(12/1/2022)

Oregon
(11/29/2022)

Tennessee
(11/29/2022)

Texas
(11/29/2022)

Virginia
(11/29/2022)

Washington
(11/29/2022)

Exams

State Security Law Exam

Series 63

Date: 6/28/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/20/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 3/3/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/24/2002

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

BERENBERG CAPITAL MARKETS LLC

CRD#: 156757 / SEC#: , 8-68821

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1251 Avenue Of The Americas 53rd Floor, New York, NY 10020

Mailing Address

1251 Avenue Of The Americas 53rd Floor, New York, NY 10020

Phone number

(646) 949-9000

Established

Delaware since 12/08/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BERENBERG ASSET MANAGEMENT LLC	MEMBER	171274
BRANTLY, ZACHARY DALTON	BOARD MEMBER	6343999
MURPHY, JOHN M	CHIEF COMPLIANCE OFFICER	1975663
SCHWARTAU, LARS	BOARD MEMBER	6483384
SHAMALOV, GREGORY	FINOP	7664290

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Glen G. Duffy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Glen Gavin Duffy's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/2003

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 11/20/2006

Series 55

Date: 3/3/2005

Series 7

Date: 6/24/2002

FINRA

Nasdaq Stock Market

Current Firm

BERENBERG CAPITAL MARKETS LLC

Contact information

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BERENBERG CAPITAL MARKETS LLC

TRUST BUT VERIFY

Similar Advisors