Mark F. 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.
Mark Francis Duffy, who also goes by Mark F Duffy, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1979. Mark had worked at 8 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 5, Series 24 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2017 - August 31, 2023
IMC SECURITIES LLC
March 18, 2011 - December 3, 2015
CORNERSTONE TRADING, LLC
December 17, 2002 - April 24, 2007
CORNERSTONE TRADING, LLC
June 16, 1986 - December 4, 1990
REUTERS C CORPORATION
May 14, 1986 - December 4, 1990
INSTINET, LLC
September 3, 1985 - September 20, 1988
J. W. GANT & ASSOCIATES, INC.
September 4, 1984 - November 28, 1989
NASH, WEISS & CO.
April 1, 1982 - October 12, 1983
CANTOR FITZGERALD & CO.
September 12, 1979 - December 24, 1981
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 5
Date: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
IMC SECURITIES LLC
CRD#: 144874 / SEC#: , 8-67680
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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