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Detailed Report
WILLIAM JOSEPH DUFFY
WILLIAM DUFFY
CRD#: 3132504
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 ONE NORTHWESTERN MUTUAL WAY
FRANKLIN, WI 53132
Registration History
199820002002200420062008201020122014201620182020202220242026IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2002 - Present (23 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2001 - Present (23 years)BSCOTTRADE, INC. (CRD# 8206)2000 - 2001 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1998 - 1999 (1 year)
License(s)

State Registrations

B
Alabama 1/2/2002
B
Montana 1/2/2002
B
Alaska 1/2/2002
B
Nebraska 1/2/2002
B
Arizona 1/2/2002
B
Nevada 1/2/2002
B
Arkansas 1/2/2002
B
New Hampshire 1/2/2002
B
California 1/2/2002
B
New Jersey 1/2/2002
B
Colorado 1/2/2002
B
New Mexico 1/2/2002
B
Connecticut 1/2/2002
B
New York 1/2/2002
B
Delaware 1/2/2002
B
North Carolina 1/2/2002
B
District of Columbia 1/2/2002
B
North Dakota 1/2/2002
B
Florida 1/2/2002
B
Ohio 1/2/2002
B
Georgia 1/2/2002
B
Oklahoma 1/2/2002
B
Hawaii 1/2/2002
B
Oregon 1/2/2002
B
Idaho 1/2/2002
B
Pennsylvania 1/2/2002
B
Illinois 1/2/2002
B
Rhode Island 1/2/2002
B
Indiana 1/2/2002
B
South Carolina 1/2/2002
B
Iowa 1/2/2002
B
South Dakota 1/2/2002
B
Kansas 1/2/2002
B
Tennessee 1/8/2002
B
Kentucky 1/2/2002
B
Texas 1/2/2002
B
Louisiana 1/2/2002
B
Utah 1/2/2002
B
Maine 1/2/2002
B
Vermont 1/2/2002
B
Maryland 1/2/2002
B
Virginia 1/2/2002
B
Massachusetts 1/2/2002
B
Washington 1/2/2002
B
Michigan 1/2/2002
B
West Virginia 1/2/2002
B
Minnesota 1/2/2002
B
Wisconsin 12/4/2001
B
Mississippi 1/2/2002
IA
Wisconsin 3/28/2002
B
Missouri 1/2/2002
B
Wyoming 1/2/2002

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
ONE NORTHWESTERN MUTUAL WAY, FRANKLIN, WI 53132
Registered with this firm since 3/28/2002
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
ONE NORTHWESTERN MUTUAL WAY, FRANKLIN, WI 53132
Registered with this firm since 12/4/2001
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/17/2000 - 09/06/2001 SCOTTRADE, INC. (CRD#:8206) ST. LOUIS, MO
B
 10/23/1998 - 10/13/1999 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.