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William Patrick Duffy

TD Securities (usa) LLC

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About William Patrick Duffy

William Duffy has been in the financial industry since October 2, 2001 and is currently registered with TD Securities (USA) LLC. Previously, William Duffy has been registered with MUFG Securities Americas Inc., RBC Capital Markets, LLC, BNP Paribas Securities Corp., Sandler, O'Neill & Partners, L.P., RBS Greenwich Capital and Salomon Smith Barney Inc. William Duffy is licensed in all 50 states and the District of Columbia.

Firm Information

William Duffy is currently registered with TD Securities (usa) LLC. TD Securities (USA) LLC is a Limited Liability Company formed in November 2004. The firm is registered in all 50 states, as well as the District of Columbia and Puerto Rico. It is also registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

174

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

CA

12/12/2022 - Present

TD Securities (usa) LLC (SAN FRANCISCO CA)

CA

04/06/2020 - 10/26/2022

MUFG SECURITIES AMERICAS INC. (SAN FRANCISCO CA)

CA

01/17/2012 - 06/18/2020

RBC CAPITAL MARKETS, LLC (SAN FRANCISCO CA)

CA

07/07/2009 - 12/08/2011

BNP PARIBAS SECURITIES CORP. (SAN FRANCISCO CA)

CA

02/10/2009 - 07/08/2009

SANDLER, O'NEILL & PARTNERS, L.P. (SAN FRANCISCO CA)

CA

04/10/2003 - 12/10/2008

RBS GREENWICH CAPITAL (SAN FRANCISCO CA)

CA

04/07/2003 - 04/07/2003

STONE & YOUNGBERG LLC (SAN FRANCISCO CA)

NY

09/10/1999 - 08/08/2001

SALOMON SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/27/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/07/2022

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/07/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for William Patrick Duffy.
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