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 registered representative with BNP Paribas Securities Corp. William has been in the securities industry since 2001 and has experience with a variety of financial institutions, including Deutsche Bank Securities Inc., and Merrill Lynch. William's areas of expertise include Securities Industry Essentials Examination, General Securities Representative Examination, and Operations Professional Examination. William has a strong track record of success in the financial services industry and is committed to providing clients with the highest quality advice and service.
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.
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2
NY
11/30/2021 - Present
BNP Paribas Securities Corp. (NEW YORK NY)
NY
07/27/2015 - 12/08/2021
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
03/21/2012 - 07/15/2015
MERRILL LYNCH PROFESSIONAL CLEARING CORP. (NEW YORK NY)
NY
08/25/2005 - 07/15/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/11/2003 - 08/17/2005
MERRILL LYNCH PROFESSIONAL CLEARING CORP. (NEW YORK NY)
NY
10/25/2001 - 03/11/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 11/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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