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Sean Patrick Duffy

Bernstein Institutional Services LLC

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About Sean Patrick Duffy

Sean Duffy is a financial professional with extensive experience in the securities industry. Sean has a Series 3, Series 7, and Series 63 license and has been active in the industry since 2010. Sean currently works for Bernstein Institutional Services LLC and is registered with FINRA as a representative of the firm. Sean has been a registered representative of Sanford C. Bernstein & Co., LLC and Stark, Salter & Smith. Sean provides a variety of financial services including educational seminars and publication of periodicals.

Firm Information

Sean Duffy is currently registered with Bernstein Institutional Services LLC. Bernstein Institutional Services LLC is a Limited Liability Company registered with the SEC and in all 50 states, plus Puerto Rico and the Virgin Islands. The firm was formed on October 15, 2021, and has 227 registered representatives and 85 investment advisory functions. Bernstein Institutional Services LLC provides educational seminars and publishes periodicals, and offers a range of advisory services.
Bernstein Institutional Services LLC

245 PARK AVE

NEW YORK, NY 10167

Not reported

Assets Under Management

Not reported

Total Clients

152

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.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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Sean Duffy’s Registration & Firm History

CA

03/29/2024 - Present

Bernstein Institutional Services LLC (Los Angeles CA)

CA

06/24/2013 - 03/29/2024

SANFORD C. BERNSTEIN & CO., LLC (LOS ANGELES CA)

NJ

09/03/2010 - 10/03/2011

STARK, SALTER & SMITH (SECAUCUS NJ)

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Licenses & Designations

BC

Issued 10/16/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/06/2024

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/02/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Sean Patrick Duffy.
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