Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Duffy is a financial professional with over 30 years of experience in the industry. Duffy is currently an active Registered Representative and Investment Advisor Representative at J.P. Morgan Securities LLC. Duffy's previous roles include positions at J.P. Morgan Securities Inc., J.P. Morgan Alternative Asset Management, Inc., Chase Investment Services Corp., Chemical Investment Services Corp., Chemical Securities, Inc., Dean Witter Reynolds Inc., MetLife Securities Inc., Metropolitan Life Insurance Company, Jesup, Josephthal & Co., Inc., Josephthal & Co., Incorporated, and Marsh, Block & Co. Inc.. Kathleen has extensive experience in providing financial planning and portfolio management services to a diverse clientele, including individuals, businesses, corporations, pension plans, insurance companies, and charitable organizations.
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
10/01/2008 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
12/19/2003 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
03/28/2002 - 06/04/2003
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC. (NEW YORK NY)
NY
11/22/1996 - 02/15/2002
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
IL
09/18/1996 - 11/21/1996
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NA
09/19/1994 - 09/18/1996
CHEMICAL INVESTMENT SERVICES CORP.
NY
05/23/1994 - 09/19/1994
CHEMICAL SECURITIES, INC. (NEW YORK NY)
NY
08/04/1992 - 06/08/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
MA
09/17/1990 - 08/03/1992
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
09/17/1990 - 08/03/1992
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NA
05/29/1990 - 09/04/1990
JESUP, JOSEPHTHAL & CO., INC.
NA
04/03/1989 - 05/29/1990
JOSEPHTHAL & CO., INCORPORATED
NA
07/21/1987 - 03/10/1989
MARSH, BLOCK & CO. INC.
IA
Issued 06/20/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/25/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/18/1995
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/01/1990
Series 24 - General Securities Principal Examination
BC
Issued 05/08/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/30/1989
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/18/1987
Series 7 - General Securities Representative 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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