PD
Paul W. Duffy
CLEAR STREET LLC
New York, NY 10007
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CRD#: 5560099
PD
Professional summary
Paul William Duffy is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2011. Paul has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Paul William Duffy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 18, 2021 - Present
CLEAR STREET LLC
Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007Office #2: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007BD
CRD#: 288933
New York, NY
Past
March 6, 2019 - October 6, 2021
JONESTRADING
BD
CRD#: 6888
Daniel Island, SC
Past
December 23, 2015 - March 5, 2019
EVERCORE GROUP L.L.C.
BD
CRD#: 42405
New York, NY
Past
October 12, 2015 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
BD
CRD#: 28195
NEW YORK, NY
Past
February 5, 2014 - November 10, 2014
GBI CAPITAL, INC.
BD
CRD#: 166424
NEW YORK, NY
Past
October 3, 2011 - February 12, 2013
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/11/2022)
RR
Connecticut(1/11/2022)
RR
Delaware(7/15/2022)
RR
District of Columbia(1/11/2022)
RR
Florida(1/11/2022)
RR
Georgia(1/11/2022)
RR
Illinois(1/11/2022)
RR
Maine(1/11/2022)
RR
Maryland(1/11/2022)
RR
Massachusetts(1/11/2022)
RR
Nevada(1/11/2022)
RR
New Hampshire(1/11/2022)
RR
New Jersey(1/11/2022)
RR
New York(1/11/2022)
RR
North Carolina(1/11/2022)
RR
Pennsylvania(1/11/2022)
RR
Texas(1/11/2022)
RR
Utah(7/15/2022)
RR
Virginia(1/11/2022)
RR
Washington(1/11/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 9/1/2020
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CS
CLEAR STREET LLC
CENTERPOINT SECURITIES | GLOBECS, LLC | CLEAR STREET, LLC | CLEAR STREET LLC | CLEAR STREET FUTURES
CRD#: 288933 / SEC#: , 8-69972
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007
Mailing Address
4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007
Phone number
(646) 738-4066
Established
Delaware since 12/20/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLEAR STREET HOLDINGS LLC | SOLE CLASS A MEMBER | |
| AUSUBEL, ELLI MARK | DIRECTOR | 5715145 |
| COHEN, URIEL EPHRAIM | DIRECTOR | 4089765 |
| HAMMERICH, DALF PAUL | HEAD OF SUPPORT | 4710381 |
| MOCCIA, CHRISTY NOEL | CHIEF COMPLIANCE OFFICER | 4855629 |
| OLIVEIRA, BRIAN | CFO/FINOP/PRINCIPAL FINANCIAL OFFICER | 5371120 |
| SICKLICK, KENNETH | DIRECTOR | 7418830 |
| VOLZ, ANDREW | DIRECTOR, CHIEF EXECUTIVE OFFICER | 4808674 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
