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GD

Glen G. Duffy

BERENBERG CAPITAL MARKETS
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 4377882
GD

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"?
No

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
BD
CRD#: 156757
NEW YORK, NY
Past

September 22, 2008 - July 14, 2022

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

June 25, 2002 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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
California
(11/29/2022)
RR
Florida
(11/29/2022)
RR
Illinois
(11/29/2022)
RR
Louisiana
(11/29/2022)
RR
Maryland
(11/29/2022)
RR
Massachusetts
(11/29/2022)
RR
New York
(11/29/2022)
RR
Ohio
(12/1/2022)
RR
Oregon
(11/29/2022)
RR
Tennessee
(11/29/2022)
RR
Texas
(11/29/2022)
RR
Virginia
(11/29/2022)
RR
Washington
(11/29/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 6/28/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/20/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 3/3/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/24/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BC
BERENBERG CAPITAL MARKETS LLC
BERENBERG CAPITAL MARKETS LLC

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

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

NamePositionCRD#
BERENBERG ASSET MANAGEMENT LLCMEMBER171274
BRANTLY, ZACHARY DALTONBOARD MEMBER6343999
MURPHY, JOHN MCHIEF COMPLIANCE OFFICER1975663
SCHWARTAU, LARSBOARD MEMBER6483384
SHAMALOV, GREGORYFINOP7664290

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

BERENBERG CAPITAL MARKETS LLC

CRD#: 156757New York, NY 10020

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