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Brian Morgan Duddy

Spartan Capital Securities, LLC

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About Brian Morgan Duddy

Brian Duddy is a financial professional with over 30 years of experience in the industry. Brian is currently registered with Spartan Capital Securities, LLC and is licensed in 10 states. Brian has a diverse background, having worked at several firms including The Benchmark Company, LLC, Dinosaur Financial Group, L.L.C, and William Blair. Brian holds a Series 7, Series 24, Series 55, Series 57TO, and Series 63 license and is well-equipped to provide clients with a comprehensive range of financial services.

Firm Information

Brian Duddy is currently registered with Spartan Capital Securities, LLC. Spartan Capital Securities, LLC is a Limited Liability Company formed in June 2007. It is registered to do business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has an active SEC registration and is subject to regulatory oversight.

Not reported

Assets Under Management

Not reported

Total Clients

83

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Brian Duddy’s Registration & Firm History

NY

01/18/2022 - Present

Spartan Capital Securities, LLC (NEW YORK NY)

NY

09/29/2021 - 01/11/2022

THE BENCHMARK COMPANY, LLC (NEW YORK NY)

NY

04/09/2020 - 09/24/2021

DINOSAUR FINANCIAL GROUP, L.L.C (NEW YORK NY)

NY

02/04/2020 - 03/29/2020

LEK SECURITIES CORPORATION (NEW YORK NY)

NJ

02/01/2018 - 02/13/2020

MAXIM GROUP LLC (RED BANK NJ)

NY

05/11/2007 - 10/18/2017

WILLIAM BLAIR (NEW YORK NY)

NY

06/03/2003 - 04/24/2007

SOLEIL SECURITIES CORPORATION (NEW YORK NY)

NY

08/29/2002 - 06/13/2003

ELECTRONIC TRADING GROUP, LLC (NEW YORK NY)

NY

11/02/2000 - 07/24/2002

SG COWEN SECURITIES CORPORATION (NEW YORK NY)

NJ

09/09/1991 - 10/16/2000

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 10/11/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/20/2005

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/07/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/05/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for Brian Morgan Duddy. Review regulatory record here.
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