Shane G. Duff
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.
Shane G Duff was a registered financial professional .
Shane is a previously registered financial professional and started their career in finance in 2005. Shane had worked at 2 firms and has passed the Series 63, SIE, Series 37 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
December 21, 2018 - June 7, 2022
BMO NESBITT BURNS SECURITIES LTD.
March 22, 2010 - April 26, 2018
TD SECURITIES (USA) LLC
February 23, 2005 - September 8, 2006
TD SECURITIES (USA) 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
Series 37
Date: 3/19/2010
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
BMO NESBITT BURNS SECURITIES LTD.
CRD#: 44057 / SEC#: , 8-50538
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO NESBITT BURNS INC. | PARENT OF BMO NESBITT BURNS SECURITIES LTD. | |
| BROWN, WILLIAM A L | DIRECTOR | 3144046 |
| FERMAN, BRUCE AARON | CHAIRMAN OF THE BOARD | 6304645 |
| GIGLIOTTI, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 3063688 |
| LAKE, STEPHANIE ANN | DIRECTOR | 5845009 |
| NARINE, IAN KENNETH | CHIEF FINANCIAL OFFICER | 7570073 |
| PERSAUD, DEVANAND NMN | PRESIDENT | 4779881 |
| RIGANTE, MAURO | DIRECTOR | 8124545 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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