Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Duffy is a financial advisor with over 38 years of experience in the industry. He is currently registered with Stifel, Nicolaus & Company, Inc. as a Registered Representative. Sean is a Certified Financial Planner and has held various positions at several firms throughout his career, including Lehman Brothers Inc., Smith Barney Inc., First Union Capital Markets Corp., Wachovia Securities, LLC, and Stanford Group Company. Sean has a strong understanding of the financial markets and is committed to providing his clients with personalized financial advice and guidance.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
PA
01/28/2021 - Present
Stifel, Nicolaus & Company, Inc. (CENTER VALLEY PA)
PA
11/21/2008 - 03/10/2009
STANFORD GROUP COMPANY (WYOMISSING PA)
PA
10/01/1999 - 11/24/2008
WACHOVIA SECURITIES, LLC (BETHLEHEM PA)
NC
03/10/1995 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
07/31/1993 - 03/17/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/02/1986 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
05/26/1983 - 10/10/1986
DEAN WITTER REYNOLDS INC.
IA
Issued 08/14/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/26/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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