John D. 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.
John Dordan Duffy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1976. John had worked at 13 firms and has passed the Series 63, Series 55, Series 7, Series 1, Series 27 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
December 17, 2002 - September 4, 2003
LOCUST STREET SECURITIES, INC.
October 11, 2002 - October 15, 2004
PFS EQUITY BROKERAGE SERVICES, LLC
August 9, 2002 - August 22, 2002
TEMPER OF THE TIMES INVESTOR SERVICES, INC.
April 26, 2001 - September 24, 2001
MERIT CAPITAL ASSOCIATES, INC.
April 10, 2000 - April 10, 2001
ADOLPH KOMORSKY INVESTMENTS
March 4, 1997 - February 28, 2000
TEMPER OF THE TIMES INVESTOR SERVICES, INC.
January 30, 1996 - June 24, 1996
NORTHEAST SECURITIES, LLC
September 1, 1995 - January 11, 1996
VAN DER MOOLEN SPECIALISTS USA, LLC
January 25, 1995 - September 1, 1995
LOM CLEARING CORP.
October 26, 1992 - January 6, 1995
VALUE INVESTING PARTNERS, INC.
June 5, 1985 - October 4, 1985
GALLAGHER EQUITIES, INC.
June 24, 1983 - December 13, 1984
BAIRD, PATRICK & CO., INC.
April 19, 1983 - June 3, 1983
HANOVER SQUARE SECURITIES GROUP INC.
September 23, 1976 - January 23, 1977
HALCYON SECURITIES, INC.
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 55
Date: 10/20/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 5/5/1967
Registered Representative ExaminationCurrent Firm
LOCUST STREET SECURITIES, INC.
CRD#: 1703 / SEC#: , 8-14037
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING ADVISORS NETWORK. INC | SOLE SHAREHOLDER | |
| COKINIS, CHRISTOPHER ALEX | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY | 1527389 |
| FRIEBERG, DAVID EUGENE | VICE PRESIDENT, RECRUITING | 1289486 |
| LARAIA, KEVIN MICHAEL | TREASURER, VICE PRESIDENT FINANCE & OPERATIONS, FIN OP, COO | 2456743 |
| LINDBERG, KARL STEPHEN | PRESIDENT/DIRECTOR | 1001270 |
| SIMMERS, JOHN STEPHEN | CHAIRMAN OF BOARD | 711578 |
| STEPHENS, LYNN ANNETTE | VICE PRESIDENT, BUSINESS DEVELOPMENT | 2169858 |
| STYCH, KEVIN PAUL | VICE PRESIDENT, SALES & MARKETING | 1904094 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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