Francis Thomas Duffy
Professional Summary
Francis Thomas Duffy was a registered financial advisor. Francis was a previously registered financial professional and started their career in finance 1981 - 2009. Francis had worked at 7 firms and has passed the Series 63, Series 7, Series 4, Series 24 and Series 54FN exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
GRANTA CAPITAL GROUP LLC | SKY CAPITAL LLC
Contact Information
Established
New York since 06/07/2001Firm Type
Limited Liability CompanyFiscal Year End
MarchDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SKY CAPITAL HOLDINGS LTD. | HOLDING COMPANY | — |
| BOLOGNA, STEPHEN JOHN | HEAD EQUITIES TRADER | 2571478 |
| DUFFY, FRANCIS THOMAS | SROP/CROP/FINOP/CHIEF FINANCIAL OFFICER | 500206 |
| GOSS, ROBERT LEWIS | CHIEF COMPLIANCE OFFICER | 226258 |
| SHEA, STEPHEN WILLIAM | CHIEF OPERATING OFFICER | 2884781 |
| SHEA, STEPHEN WILLIAM | ACTING INTERIM PRESIDENT | 2884781 |
Disclosures
Regulatory Event
3Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 54FN — Municipal Securities Financial and Operations Principal Examination
Passed Jun 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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