Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Duffy is a financial professional with over 39 years of experience in the securities industry. Patrick is currently registered with Noble Capital Markets, Inc. in Westport, CT. Patrick has previously been registered with several other firms including Advisory Group Equity Services LTD., SOURCE CAPITAL GROUP, INC., CLG INVESTMENT COMPANY, INC., METLIFE SECURITIES INC., NUTMEG SECURITIES, LTD., TOUSSAINT CAPITAL PARTNERS, LLC, TCW BROKERAGE SERVICES, Sharpe Capital, Inc., and C. L. GLAZER & COMPANY, INC. Patrick has a wide range of experience and holds the Series 4, 7, 24, 55, 63, 79, and SIE licenses.
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
CT
02/12/2021 - Present
Noble Capital Markets, Inc. (Westport CT)
CT
02/15/2017 - 02/01/2021
ADVISORY GROUP EQUITY SERVICES LTD. (Westport CT)
CT
08/28/2015 - 03/07/2017
SOURCE CAPITAL GROUP, INC. (WESTPORT CT)
CT
04/15/2009 - 08/26/2015
CLG INVESTMENT COMPANY, INC. (GREENWICH CT)
NY
10/16/2007 - 04/13/2009
METLIFE SECURITIES INC. (ELMSFORD NY)
NY
04/24/2007 - 10/15/2007
NUTMEG SECURITIES, LTD. (NEW YORK NY)
NJ
03/21/2007 - 04/16/2007
TOUSSAINT CAPITAL PARTNERS, LLC (FREEHOLD NJ)
CT
02/24/2003 - 03/14/2007
CLG INVESTMENT COMPANY, INC. (GREENWICH CT)
CA
02/14/2001 - 11/04/2002
TCW BROKERAGE SERVICES (LOS ANGELES CA)
NY
04/17/2000 - 08/24/2000
SHARPE CAPITAL, INC. (NEW YORK NY)
CT
09/30/1998 - 04/17/2000
C. L. GLAZER & COMPANY, INC. (GREENWICH CT)
CT
09/01/1994 - 09/29/1998
BROOKEHILL EQUITIES, INC. (WESTPORT CT)
CT
07/30/1990 - 08/15/1994
C. L. GLAZER & COMPANY, A LIMITED PARTNERSHIP (GREENWICH CT)
NY
09/18/1989 - 05/08/1990
OSCAR GRUSS & SON, INCORPORATED (NEW YORK NY)
CA
01/22/1988 - 09/05/1989
JONES & ASSOCIATES, INC. (THOUSAND OAKS CA)
NA
04/12/1984 - 12/08/1987
DILLON, READ & CO. INC.
NA
05/20/1983 - 03/08/1984
SECURITY PACIFIC BROKERS, INC.
NA
11/04/1981 - 11/25/1983
PRUDENTIAL-BACHE SECURITIES INC.
BC
Issued 12/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/06/2007
Series 24 - General Securities Principal Examination
BC
Issued 07/06/1983
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/19/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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