Richard F. 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.
Richard Francis Duffy was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2009. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 34, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2023 - December 14, 2023
MATRIX EXECUTIONS, LLC
July 29, 2021 - August 7, 2023
IMC SECURITIES LLC
July 18, 2019 - July 31, 2019
CMZ TRADING, LLC
December 15, 2016 - August 2, 2017
TD AMERITRADE CLEARING, INC.
March 12, 2014 - August 2, 2017
TD AMERITRADE, INC.
September 25, 2013 - June 27, 2014
E*TRADE FUTURES LLC
December 13, 2010 - October 2, 2012
CMZ TRADING, LLC
May 27, 2009 - June 3, 2009
GREENTREE BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MATRIX EXECUTIONS, LLC
CRD#: 38455 / SEC#: , 8-48255
Contact information
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
Red Flags
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