James V. 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.
James Vincent Duffy was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1972. James had worked at 9 firms and has passed the Series 63, Series 5, Series 7, Series 1, Series 4, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2012 - September 26, 2014
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
August 3, 2001 - December 31, 2010
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
May 24, 1996 - October 20, 2000
PERSHING LLC
February 20, 1991 - October 29, 1993
MERRILL LYNCH GOVERNMENT SECURITIES INC.
February 20, 1991 - July 10, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1984 - December 10, 1990
SCHRODER & CO. INC.
August 7, 1981 - July 13, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 1978 - July 14, 1981
MORGAN STANLEY DW INC.
March 1, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
November 3, 1972 - April 28, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
CRD#: 149326 / SEC#: 801-116875, 8-68138
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 11/18/1981
Interest Rate Options ExaminationSeries 1
Date: 11/1/1972
Registered Representative ExaminationSeries 8
Date: 4/21/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
CRD#: 149326 / SEC#: 801-116875, 8-68138
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (16 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| ANTHONY, DANNELL WAYNE | FINOP, DIRECTOR OF FINANCE | 7038021 |
| BOHNSACK, NICHOLAS GREGORY | PRESIDENT / COO | 4571796 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| GABAY, EILEEN MARGARET | CHIEF OPERATING OFFICER | 5602349 |
| LANGENFELD, JON A | DIRECTOR | 4322120 |
| LOGUE, SOFIA | CHIEF COMPLIANCE OFFICER | 6406784 |
| RISSMILLER, DONALD JAMES | VICE CHAIRMAN / PRINCIPAL | 5227351 |
| TOTORO, MICHAEL A | CHIEF TECHNOLOGY OFFICER | 1552053 |
| TRENNERT, JASON RICHARD | CHAIRMAN / CEO | 2079457 |
Red Flags
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