Matthew P. 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.
Matthew Patrick Duffy, who also goes by Matthew Patrick Duffy, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2005. Matthew had worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2019 - June 18, 2024
LAIDLAW & COMPANY (UK) LTD.
October 1, 2014 - December 4, 2017
LIFESCI CAPITAL
May 24, 2012 - September 22, 2014
ROBERTS MITANI, LLC
May 13, 2011 - November 22, 2011
COWEN PRIME SERVICES LLC
January 17, 2006 - October 22, 2010
BDR RESEARCH GROUP LLC
July 13, 2005 - December 31, 2005
BLACK DIAMOND RESEARCH, 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
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
