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PD

Peter J. Duffy

PALM TREE SECURITIES LLC
Los Angeles, CA 90025
Some features on this profile are disabled
CRD#: 6502036
PD

Professional summary

Peter Joseph Duffy is a registered financial professional currently at PALM TREE SECURITIES LLC located in Los Angeles, California.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2018. Peter has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Joseph 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®
None

Experience

Current

October 18, 2023 - Present

PALM TREE SECURITIES LLC

Office #1: 11755 Wilshire Blvd Ste 2300, Los Angeles, CA 90025
BD
CRD#: 307831
Los Angeles, CA
Past

August 1, 2022 - August 17, 2023

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

December 21, 2018 - March 19, 2020

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, 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
(10/18/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/5/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/1/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/22/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/21/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PT
PALM TREE SECURITIES LLC
PALM TREE SECURITIES LLC

CRD#: 307831 / SEC#: , 8-70505

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11755 Wilshire Blvd Ste 2300, Los Angeles, CA 90025
Mailing Address
11755 Wilshire Blvd Ste 2300, Los Angeles, CA 90025
Phone number
(424) 220-6800
Established
Delaware since 02/03/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PALM TREE ADVISORS LLCMEMBER
HELLING, BLAKE CHRISTOPHERFINOP5844490
NASSERI, PARDISCHIEF EXECUTIVE OFFICER5425471
RAND, PAIGE WOODSUMCCO4520907

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.

Company Information

PALM TREE SECURITIES LLC

CRD#: 307831Los Angeles, CA 90025

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