Gregory J. Duffy
Professional summary
Gregory J. Duffy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Gregory had worked at 1 firm, which includes BROOKVILLE CAPITAL PARTNERS.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2006 - April 12, 2007
BROOKVILLE CAPITAL PARTNERS
State Registrations and Notice Filings
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Exams
Current Firm
BROOKVILLE CAPITAL PARTNERS
CRD#: 102380 / SEC#: , 8-52119
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTERBURY SECURITIES HOLDINGS INC. | SOLE MEMBER | |
| IEZZONI, GABRIEL ANTHONY | CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1243767 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 5 |
Red Flags
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