Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames T Duffy is an active, registered representative with J.p. Morgan Securities LLC, a firm that is active in both Broker-Dealer and Investment Advisor capacity. James has been in the industry for over 2 years and holds Series 7TO, Series 63, and SIE licenses. James is also registered in seven states including California, Connecticut, Florida, New Jersey, New York, North Carolina, and Texas. Prior to joining J.p. Morgan Securities LLC, James was with AEGIS CAPITAL CORP. James specializes in providing financial advice and portfolio management services to individuals, corporations, insurance companies, labor unions, charitable organizations and pension and profit-sharing plans.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
01/27/2022 - Present
J.p. Morgan Securities LLC (HUNTINGTON NY)
NY
06/14/2021 - 07/21/2021
AEGIS CAPITAL CORP. (MELVILLE NY)
BC
Issued 06/24/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/14/2021
Series 7TO - General Securities Representative Examination
BC
Issued 05/03/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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