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Brendan Francis Duffy

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fairfield, CT

New York, NY

Ridgefield, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2012-07-03
DC RA APPROVED 2011-03-18
WA RA APPROVED 2008-04-07
NJ RA APPROVED 2003-01-08
TX RA APPROVED 2003-01-08
  • CT RA
    APPROVED
    Since 2012-07-03
  • DC RA
    APPROVED
    Since 2011-03-18
  • WA RA
    APPROVED
    Since 2008-04-07
  • NJ RA
    APPROVED
    Since 2003-01-08
  • TX RA
    APPROVED
    Since 2003-01-08

Branch Locations

1499 Post Rd Investment Solutions Group, Fairfield, CT 06824 • United States

One Bryant Park Investment Solutions Group, New York, NY 10036 • United States

Ridgefield, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Inc. Pennington NJ 12/2002 Present
  • 12/2002 → Present
    Merrill Lynch, Pierce, Fenner & Smith Inc.
    Pennington, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-03-01
  • S66 Uniform Combined State Law Examination
    2001-03-01

View on SEC IAPD

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Other Offices

HERBERT J. SIMS CAPITAL MANAGEMENT, INC. · FAIRFIELD, CT
MONECO ADVISORS · FAIRFIELD, CT
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Fairfield, CT
MONECO ADVISORS · FAIRFIELD, CT
JANNEY MONTGOMERY SCOTT LLC · Fairfield, CT
EDGEWOOD CAPITAL ADVISORS, LLC · SOUTHPORT, CT
AMERIPRISE FINANCIAL SERVICES, LLC · Southport, CT
DAYMARK WEALTH PARTNERS, LLC · Southport, CT

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