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Sean Philip Duffy

Siebert Williams Shank & CO., LLC

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About Sean Philip Duffy

Sean Duffy is a financial advisor with over 40 years of experience in the industry. He is currently registered with Siebert Williams Shank & CO., LLC. Previously, Sean held positions with Loop Capital Markets L.L.C., Inter-Dealer Broker LLC, William E. Simon & Sons Municipal Securities, Inc., Printon, Kane Group, Inc., Printon, Kane Government Securities, Inc., Printon Kane & Co., L.P., Printon, Kane Government Securities, L.P., and PaineWebber Incorporated. He has a wide range of experience in the financial services industry and is well-equipped to provide comprehensive financial advice. He holds licenses for both Series 7 and Series 52TO. Sean's expertise is focused on municipal securities.

Firm Information

Sean Duffy is currently registered with Siebert Williams Shank & CO., LLC. Siebert Williams Shank & CO., LLC is a Limited Liability Company that was formed in March 1997. The firm is registered in all 50 states and with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

88

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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Sean Duffy’s Registration & Firm History

NY

06/03/2004 - Present

Siebert Williams Shank & CO., LLC (NEW YORK NY)

IL

03/19/2001 - 04/30/2004

LOOP CAPITAL MARKETS L.L.C. (CHICAGO IL)

NY

08/10/2000 - 02/01/2001

INTER-DEALER BROKER LLC (NEW YORK NY)

NJ

03/06/1990 - 07/25/2000

WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC. (MORRISTOWN NJ)

NA

09/01/1989 - 02/15/1990

PRINTON, KANE GROUP, INC.

NA

06/23/1988 - 09/01/1989

PRINTON, KANE GOVERNMENT SECURITIES, INC.

NA

03/11/1988 - 09/01/1989

PRINTON KANE & CO., L.P.

NA

03/11/1988 - 07/16/1988

PRINTON, KANE GOVERNMENT SECURITIES, L.P.

NA

02/25/1982 - 07/13/1987

PAINEWEBBER INCORPORATED

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Licenses & Designations

BC

Issued 07/26/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/22/2013

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/20/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sean Philip Duffy.
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