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Thomas James Duffy

Grant Williams LP

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About Thomas James Duffy

Thomas Duffy is a financial advisor with over 20 years of experience in the financial services industry. Thomas is currently registered with Grant Williams LP in Philadelphia, Pennsylvania. Prior to joining Grant Williams LP, Thomas was employed by Blackrock Investments, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Datek Online Brokerage Services LLC. Thomas holds a Series 63, Series 65, Series 7, Series 4, and Series 24 licenses. He is also a Registered Representative and a General Securities Principal.

Firm Information

Thomas Duffy is currently registered with Grant Williams LP. Grant Williams LP is a Partnership firm that was formed on June 26, 1998. The firm is registered with the SEC and in 18 states.

Not reported

Assets Under Management

Not reported

Total Clients

39

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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Thomas Duffy’s Registration & Firm History

PA

10/30/2019 - Present

Grant Williams LP (PHILADELPHIA PA)

NJ

06/06/2008 - 09/11/2018

BLACKROCK INVESTMENTS, LLC (PRINCETON NJ)

NJ

03/25/2003 - 06/02/2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)

NY

04/25/2001 - 11/15/2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NE

10/05/2000 - 03/05/2001

DATEK ONLINE BROKERAGE SERVICES LLC (OMAHA NE)

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Licenses & Designations

IA

Issued 05/29/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/23/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/18/2001

Series 4 - Registered Options Principal Examination

BC

Issued 12/07/2000

Series 24 - General Securities Principal Examination

BC

Issued 09/11/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/04/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas James Duffy.
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