Francis T. 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.
Francis Thomas Duffy was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1981. Francis had worked at 7 firms and has passed the Series 63, Series 7, Series 4, Series 24 and Series 54FN exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2003 - March 10, 2009
GRANTA CAPITAL GROUP LLC
May 7, 2002 - February 24, 2003
THE THORNWATER COMPANY, L.P.
April 10, 2000 - February 28, 2001
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
May 7, 1992 - May 18, 1999
DAIWA CAPITAL MARKETS AMERICA INC.
July 19, 1991 - April 14, 1992
GILES SECURITIES CO., L.P.
July 25, 1987 - January 25, 1991
SANWA SECURITIES (USA) CO., L.P.
March 20, 1981 - January 25, 1991
SANWA UNIVERSAL SECURITIES CO., 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 54FN
Date: 6/22/1978
Municipal Securities Financial and Operations Principal ExaminationCurrent Firm
GRANTA CAPITAL GROUP LLC
CRD#: 114657 / SEC#: , 8-53430
Contact information
Documents
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 | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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