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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-02-09 |
| TX | RA | APPROVED_RES | 2019-05-21 |
Branch Locations
420 Lexington Avenue, 25Th Floor Suite 2510, New York, NY 10170 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Securities Llc | New York | NY | 04/2015 | 05/2018 |
| New York Life Insurance Company | New York | NY | 09/2018 | 05/2019 |
| Nylife Securities Llc | New York | NY | 09/2018 | 05/2019 |
| Unemployed | Commack | NY | 06/2018 | 09/2018 |
| Eagle Strategies Llc | New York | NY | 01/2019 | 05/2019 |
| Massmutual Life Insurance Company | New York | NY | 04/2019 | Present |
| Mml Investors Services, Llc | New York | NY | 05/2019 | Present |
(1)NAME: JOSEPH T DUFFY INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: OUTSIDE INSURANCE POSITION: FINANCIAL ADVISOR START DATE: 10/09/2020 NO. HR/MO: 4 NO. HR/MO DURING SEC TRADING: 4 , DUTIES: LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES. (2)NAME: JTDUFFY SERVICES, LLC INV REL: Y ADD: RESIDENTIAL NATURE: LLC PASSTHROUGH FOR MASSMUTUAL AND MMLIS BUSINESS POSITION: OWNER START DATE: 01/02/2020 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DUTIES: RECORDKEEPING (3) NAME: The Spotlight Project, LLC INV REL: N ADD: Residential Address NATURE: ecommerce: Jewelry (Bracelets) POSITION: Partial owner (25%) - Member START DATE: 01/01/2022 NO. HR/MO: 16 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: Recordkeeping, photography, website design and construction
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-05-12 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-26 |
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