Patrick Duffy

NOBLE CAPITAL MARKETS

Westport, CT 06880

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CRD#: 856725

Professional summary

Patrick Duffy is a registered financial professional currently at NOBLE CAPITAL MARKETS, INC. located in Westport, Connecticut.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1981. Patrick has worked at 15 firms and has passed the Series 63, Series 57TO, Series 6TO, Series 79TO, Series 7TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

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 Patrick 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

February 12, 2021 - Present

NOBLE CAPITAL MARKETS, INC.

Office #1: 88 Post Road West 1st Floor, Westport, CT 06880

CRD#: 15768

Westport, CT

Past

February 15, 2017 - February 1, 2021

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Westport, CT

Past

August 28, 2015 - March 7, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

April 15, 2009 - August 26, 2015

CLG INVESTMENT COMPANY, INC.

CRD#: 10141

GREENWICH, CT

Past

October 16, 2007 - April 13, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ELMSFORD, NY

Past

April 24, 2007 - October 15, 2007

DOMINARI SECURITIES LLC

CRD#: 18975

NEW YORK, NY

Past

March 21, 2007 - April 16, 2007

TOUSSAINT CAPITAL PARTNERS, LLC

CRD#: 130290

FREEHOLD, NJ

Past

February 24, 2003 - March 14, 2007

CLG INVESTMENT COMPANY, INC.

CRD#: 10141

GREENWICH, CT

Past

February 14, 2001 - November 4, 2002

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670

LOS ANGELES, CA

Past

April 17, 2000 - August 24, 2000

SHARPE CAPITAL, INC.

CRD#: 18452

NEW YORK, NY

Past

September 30, 1998 - April 17, 2000

CLG INVESTMENT COMPANY, INC.

CRD#: 10141

GREENWICH, CT

Past

September 1, 1994 - September 29, 1998

BROOKEHILL CAPITAL PARTNERS LIMITED

CRD#: 7966

WESTPORT, CT

Past

July 30, 1990 - August 15, 1994

CLG INVESTMENT COMPANY, INC.

CRD#: 10141

GREENWICH, CT

Past

September 18, 1989 - May 8, 1990

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091

NEW YORK, NY

Past

January 22, 1988 - September 5, 1989

JONESTRADING

CRD#: 6888

THOUSAND OAKS, CA

Past

April 12, 1984 - December 8, 1987

SBC WARBURG DILLON READ INC.

CRD#: 1650

Past

May 20, 1983 - March 8, 1984

BA INVESTMENT SERVICES, INC.

CRD#: 12965

Past

November 4, 1981 - November 25, 1983

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

State Registrations and Notice Filings

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

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

Connecticut
(2/12/2021)

Florida
(2/12/2021)

Puerto Rico
(3/31/2021)

Exams

State Security Law Exam

Series 63

Date: 12/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/16/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/19/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/6/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/6/1983

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

NOBLE CAPITAL MARKETS, INC.

NOBLE CAPITAL MANAGEMENT INC | NOBLE LIFE SCIENCE PARTNERS | NOBLE INTERNATIONAL INVESTMENTS, INC. | NOBLE FINANCIAL CAPITAL MARKETS | NOBLE CAPITAL MARKETS, INC.

CRD#: 15768 / SEC#: , 8-32706

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432

Mailing Address

150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432

Phone number

(561) 994-1191

Established

Florida since 09/21/1984

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NOBLE FINANCIAL GROUP, INC.	SHAREHOLDER
LEAN, DAVID JONATHAN	CCO	3114377
PRONK, NICOLAAS PETRUS	OWNER, CEO, CFO	1726101

Disclosures

Regulatory Event	9
Arbitration	11

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Patrick Duffy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Duffy's CRS (Customer Relationship Summary).

Certified licenses

Experience

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

CLG INVESTMENT COMPANY, INC.

MSI FINANCIAL SERVICES, INC.

DOMINARI SECURITIES LLC

TOUSSAINT CAPITAL PARTNERS, LLC

CLG INVESTMENT COMPANY, INC.

TCW FUNDS DISTRIBUTORS LLC

SHARPE CAPITAL, INC.

CLG INVESTMENT COMPANY, INC.

BROOKEHILL CAPITAL PARTNERS LIMITED

CLG INVESTMENT COMPANY, INC.

OSCAR GRUSS & SON INCORPORATED

JONESTRADING

SBC WARBURG DILLON READ INC.

BA INVESTMENT SERVICES, INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/2/1994

Series 57TO

Date: 1/2/2023

Series 6TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/16/2000

Series 7

Date: 8/19/1978

Series 24

Date: 6/6/2007

Series 4

Date: 7/6/1983

FINRA

Current Firm

NOBLE CAPITAL MARKETS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NOBLE CAPITAL MARKETS, INC.

TRUST BUT VERIFY

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