Timothy J. Duffy
Professional summary
Timothy James Duffy is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Valley Village, California.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2002. Timothy has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy James Duffy's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2010 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 2, 2009 - May 20, 2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
December 23, 2008 - May 20, 2010
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
May 18, 2007 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
February 22, 2007 - May 18, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
December 19, 2005 - January 4, 2007
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - January 4, 2007
FRANKLIN DISTRIBUTORS, LLC
October 28, 2005 - December 16, 2005
CITIGROUP GLOBAL MARKETS INC.
February 1, 2002 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/13/2015)
(7/13/2015)
(12/9/2010)
(7/22/2013)
Exams
FINRA
Current Firm
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIFM HOLDCO, LLC | SOLE MEMBER | |
| HENNING, MEREDITH FARWELL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4315489 |
| LEE, H SOO | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 6834507 |
| LEIBOWITZ, KAREN | PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2693999 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| TAITE, LOUIS ANTHONY | CHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT | 5065572 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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