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William M Duffy

Regiment Securities, LLC

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About William M Duffy

William Duffy is a financial advisor with Regiment Securities, LLC based in Chicago, Illinois. William has over 15 years of experience in the financial services industry. William has Series 7, 24, 55, 63 and 99TO licenses. William is registered in Illinois, Indiana, Michigan, Minnesota, and Wisconsin. Prior to joining Regiment Securities, LLC, William was employed by Eastgate Securities, LLC, Cabrera Capital Markets, LLC, Optionshouse, G1 Execution Services, LLC, and E*TRADE Capital Markets - Execution Services LLC.

Firm Information

William Duffy is currently registered with Regiment Securities, LLC. Regiment Securities, LLC is a Limited Liability Company formed on September 21, 2020. The firm is registered with the SEC and in 31 states.

Not reported

Assets Under Management

Not reported

Total Clients

28

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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William Duffy’s Registration & Firm History

IL

07/16/2021 - Present

Regiment Securities, LLC (Chicago IL)

NY

01/25/2021 - 07/23/2021

EASTGATE SECURITIES, LLC (NEW YORK NY)

IL

12/23/2015 - 09/13/2016

CABRERA CAPITAL MARKETS, LLC (CHICAGO IL)

IL

08/17/2015 - 12/18/2015

OPTIONSHOUSE (CHICAGO IL)

IL

09/30/2006 - 12/03/2014

G1 EXECUTION SERVICES, LLC (CHICAGO IL)

IL

02/20/2006 - 09/30/2006

E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC (CHICAGO IL)

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Licenses & Designations

BC

Issued 01/15/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/12/2021

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 06/22/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/17/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William M Duffy.
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