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Philip Matthew Duddy

Samuel A. Ramirez & Company, Inc.

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About Philip Matthew Duddy

Philip Duddy is a Registered Representative with Samuel A. Ramirez & Company, Inc. Philip has been in the financial services industry since 1994. Philip has a Series 7, Series 63, and Series 82TO license.

Firm Information

Philip Duddy is currently registered with Samuel A. Ramirez & Company, Inc.. Samuel A. Ramirez & Company, Inc. is a corporation formed in 1971. It is registered in 51 states and the District of Columbia, as well as with the Securities and Exchange Commission (SEC). The firm has been involved in 6 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

118

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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Philip Duddy’s Registration & Firm History

NY

11/10/2020 - Present

Samuel A. Ramirez & Company, Inc. (NEW YORK NY)

NJ

09/07/2017 - 09/02/2020

CROSS POINT CAPITAL LLC (Marlboro NJ)

NJ

05/06/2017 - 06/06/2017

ICAP SECURITIES USA LLC (JERSEY CITY NJ)

NJ

03/22/2010 - 06/06/2017

ICAP CORPORATES LLC (JERSEY CITY NJ)

NY

07/01/2009 - 03/11/2010

CROSS POINT CAPITAL LLC (NEW YORK NY)

NY

09/22/2008 - 06/15/2009

AURIGA USA, LLC (NEW YORK NY)

NY

11/07/2006 - 06/06/2008

COHEN & COMPANY SECURITIES, LLC (NEW YORK NY)

NY

06/20/2005 - 11/03/2006

ICAP CORPORATES LLC (NEW YORK NY)

NJ

06/20/2005 - 11/03/2006

ICAP SECURITIES USA LLC (JERSEY CITY NJ)

NJ

09/30/2002 - 06/10/2005

HILLIARD FARBER & CO., INC. (JERSEY CITY NJ)

NY

09/30/2002 - 06/10/2005

HILLIARD FARBER SECURITIES CORP. (NEW YORK NY)

NJ

10/01/1993 - 10/17/2002

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 11/15/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 82TO - Limited Representative-Private Securities Offerings

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/30/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Philip Matthew Duddy.
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