Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caitlin? Claim Your ProfileCaitlin A. Duffy is a financial advisor with Pimco Investments LLC, located in New York, NY. Caitlin began working in the financial industry on February 18, 2010. Caitlin has Series 3, 7, 24, and 63 securities licenses and is registered in 14 states: California, Colorado, Connecticut, District of Columbia, Illinois, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, and South Carolina. Before working at Pimco Investments LLC, Caitlin worked at Interactive Brokers LLC in Greenwich, CT.
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.
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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2
NY
05/18/2017 - Present
Pimco Investments LLC (NEW YORK NY)
CT
08/18/2009 - 11/14/2016
INTERACTIVE BROKERS LLC (GREENWICH CT)
BC
Issued 05/31/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2018
Series 3 - National Commodity Futures Examination
BC
Issued 08/17/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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