Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Duffy is a financial professional with over two decades of experience in the industry. William Duffy is currently registered with Fidelity Brokerage Services LLC and National Financial Services LLC. William Duffy has a broad range of experience, having worked at firms including CHARLES SCHWAB & CO., INC., DEER ISLE CAPITAL, LLC, and T. ROWE PRICE INVESTMENT SERVICES, INC. William Duffy holds a variety of licenses and certifications including Series 6, 7, 24, 51, 63, and 66. William Duffy is currently registered in New Jersey.
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.
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.
1
2
NJ
07/01/2024 - Present
Fidelity Brokerage Services LLC (JERSEY CITY NJ)
CO
02/13/2015 - 04/09/2020
CHARLES SCHWAB & CO., INC. (Lone Tree CO)
NY
12/06/2011 - 01/27/2015
DEER ISLE CAPITAL, LLC (EAST HAMPTON NY)
NY
08/16/2000 - 11/08/2011
T. ROWE PRICE INVESTMENT SERVICES, INC. (GARDEN CITY NY)
BOTH
Issued 01/29/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/03/2004
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 12/18/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/2001
Series 7 - General Securities Representative Examination
BC
Issued 08/15/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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