Kathleen J Duffy

CRD 1682882 · J.P. Morgan Securities LLC · New York, NY

Broker

Also appears in the source record as: Kate Duffy; Kathleen Johnson Duffy; Katie Duffy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (13): Series 57TOSeries 52TOSIESeries 55Series 7Series 10Series 9Series 53Series 24Series 8Series 4Series 65Series 63
Registered states: Not yet retrieved from the source record
Years in the industry (source record): 38
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (11)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
New York, NY · BC capacity

start not retrieved → present
J.P. Morgan Securities Inc.
New York, NY · BC capacity

Dec 19, 2003 → Oct 1, 2008
J.P. Morgan Alternative Asset Management, Inc.
New York, NY · BC capacity

Mar 28, 2002 → Jun 4, 2003
Chase Investment Services Corp.
Chicago, IL · BC capacity

Sep 18, 1996 → Nov 21, 1996
Chemical Investment Services Corp.
BC capacity

Sep 19, 1994 → Sep 18, 1996
Dean Witter Reynolds Inc.
Purchase, NY · BC capacity

Aug 4, 1992 → Jun 8, 1994
Metropolitan Life Insurance Company
New York, NY · BC capacity

Sep 17, 1990 → Aug 3, 1992
Metlife Securities Inc.
Springfield, MA · BC capacity

Sep 17, 1990 → Aug 3, 1992
Jesup, Josephthal & Co., Inc.
BC capacity

May 29, 1990 → Sep 4, 1990
Josephthal & Co., Incorporated
BC capacity

Apr 3, 1989 → May 29, 1990
Marsh, Block & Co. Inc.
BC capacity

Jul 21, 1987 → Mar 10, 1989

Source & corrections

Where this page comes from

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