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TD

Terrence J. Duffy

WESTMINSTER RESEARCH ASSOCIATES
Stamford,, CT 06902
CRD#: 8203686
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TD
Terrence James Duffy IIIWESTMINSTER RESEARCH ASSOCIATES

Professional summary

Terrence James Duffy III, who also goes by Terrence James Duffy, Tj Duffy, is a registered financial professional currently at WESTMINSTER RESEARCH ASSOCIATES LLC located in Stamford,, Connecticut.

Terrence is registered as a RR (Registered Representative) and started their career in finance in 2026. Terrence has worked at 1 firm and has passed the Series 7TO and SIE exams.

Aliases

Terrence James Duffy | Tj Duffy

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 Terrence James Duffy III'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

May 23, 2026 - Present

WESTMINSTER RESEARCH ASSOCIATES LLC

Office #1: 262 Harbor Drive, Stamford,, CT 06902
BD
CRD#: 14508
Stamford,, CT

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

General Industry/Product Exam
RR
Series 7TO
Date: 5/23/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/28/2026
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

WR
WESTMINSTER RESEARCH ASSOCIATES LLC
C B INTERNATIONAL SECURITIES,INC. | WESTMINSTER RESEARCH ASSOCIATES LLC | WESTMINSTER RESEARCH ASSOCIATES INC. | TD COWEN WESTMINSTER RESEARCH | COUNTY NATWEST INTERNATIONAL LIMITED

CRD#: 14508 / SEC#: , 8-28900

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

Main Address
262 Harbor Drive, Stamford, CT 06902
Mailing Address
22 Vanderbilt Avenue 20floor, New York, NY 10017
Phone number
(212) 448-6050
Established
Delaware since 09/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
COWEN HOLDINGS, INC.DIRECT PARENT
BOWEN-FARSEWICZ, MELISSA ANNPRINCIPAL FINANCIAL OFFICER AND FINOP6022667
BROADBERY, MICHAELCHIEF COMPLIANCE OFFICER6947899
HOLMES, JOHNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1281617
TISCORNIA, CHRISTOPHERCHIEF EXECUTIVE OFFICER2836418

Disclosures

Regulatory Event1

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Company Information

WESTMINSTER RESEARCH ASSOCIATES LLC

CRD#: 14508Stamford,, CT 06902

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