AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TD

Terence J. Duffy

ADVANTAGE SECURITIES LLC
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 709133
TD

Professional summary

Terence Joseph Duffy is a registered financial professional currently at ADVANTAGE SECURITIES LLC located in Chicago, Illinois.

Terence is registered as a RR (Registered Representative) and started their career in finance in 2008. Terence has worked at 3 firms and has passed the Series 63, SIE and Series 7 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 Terence Joseph Duffy's CRS (Customer Relationship Summary).
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

August 5, 2014 - Present

ADVANTAGE SECURITIES LLC

Office #1: 141 West Jackson Boulevard Suite 3900, Chicago, IL 60604
BD
CRD#: 39362
Chicago, IL
Past

November 5, 2012 - July 23, 2014

CHICAGO CAPITAL MANAGEMENT, L.P.

BD
CRD#: 44342
CHICAGO, IL
Past

September 22, 2010 - January 28, 2011

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
CHICAGO, IL
Past

March 21, 2008 - September 22, 2010

ADVANTAGE SECURITIES LLC

BD
CRD#: 39362
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/25/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ADVANTAGE SECURITIES LLC
ADVANTAGE SECURITIES LLC | BLACKHAWK FINANCIAL L.L.C.

CRD#: 39362 / SEC#: , 8-48652

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
141 West Jackson Boulevard Suite 3900, Chicago, IL 60604
Mailing Address
141 West Jackson Boulevard Suite 3900, Chicago, IL 60604
Phone number
(312) 800-7000
Established
Illinois since 08/03/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ADVANTAGE FUTURES L.L.C.OWNER
CRANE, MARGUERITE MARYFINOP, PFO2623309
GUINAN, JOSEPH MICHAEL JRCHIEF EXECUTIVE OFFICER, POO1548822
JONES, LISA COURTNEYCHIEF COMPLIANCE OFFICER2084154
WESTBROOK, SARAH MARGARETROSFP4751500

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

ADVANTAGE SECURITIES LLC

CRD#: 39362Chicago, IL 60604

TRUST BUT VERIFY

Monitor Terence Duffy

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics