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Daniel Duffy

State Street Global Markets, LLC

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About Daniel Duffy

Daniel Duffy is a financial professional with over 30 years of experience in the industry. Daniel has a strong background in trading and has held positions at a variety of firms including Clearpool Execution Services, LLC, World-Xecution Strategies, and WTS Proprietary Trading Group LLC. Daniel is currently registered with State Street Global Markets, LLC. Daniel is a licensed Series 7, 24, 55, 57TO and SIE representative.

Firm Information

Daniel Duffy is currently registered with State Street Global Markets, LLC. State Street Global Markets, LLC is a Limited Liability Company formed in 2016 and approved in 53 states and the District of Columbia, including SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

88

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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Daniel Duffy’s Registration & Firm History

MA

08/28/2019 - Present

State Street Global Markets, LLC (BOSTON MA)

NY

04/08/2014 - 03/01/2019

CLEARPOOL EXECUTION SERVICES, LLC (New York NY)

NY

06/20/2012 - 03/20/2015

WORLD-XECUTION STRATEGIES (NEW YORK NY)

NY

05/10/2013 - 07/10/2014

WTS PROPRIETARY TRADING GROUP LLC (NEW YORK NY)

NY

06/24/2009 - 09/15/2011

SURGE TRADING INC. (NEW YORK NY)

NY

05/15/1990 - 07/07/2009

BERNARD L. MADOFF INVESTMENT SECURITIES LLC (NEW YORK NY)

NY

02/02/1989 - 04/04/1990

COHMAD SECURITIES CORPORATION (NEW YORK NY)

NA

09/20/1988 - 04/25/1989

REVCON (USA) LIMITED

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Licenses & Designations

BC

Issued 09/29/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/25/2014

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 04/15/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/17/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq BX, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Daniel Duffy.
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