William M. 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.
William M Duffy JR., who also goes by Billy Duffy, William M Duffy, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2013. William had worked at 3 firms and has passed the SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2021 - August 31, 2021
KPMG CORPORATE FINANCE LLC
November 14, 2014 - April 29, 2021
M&T SECURITIES, INC.
July 2, 2013 - November 6, 2014
SC&H CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
KPMG CORPORATE FINANCE LLC
CRD#: 103973 / SEC#: , 8-52462
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
