Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Duffy is a financial advisor with Scotia Capital (usa) Inc., a registered broker-dealer. James has been active in the financial industry since 2009, working previously for Park Avenue Securities LLC. James Duffy is licensed in all 50 states. James is currently registered with FINRA and in all 50 states.
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.
1
2
NY
02/23/2011 - Present
Scotia Capital (usa) Inc. (NEW YORK NY)
NY
08/12/2009 - 11/16/2009
PARK AVENUE SECURITIES LLC (WOODBURY NY)
BOTH
Issued 09/01/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/10/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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