CRD of CRMD Director Matthew Duffy

BrokerCheck ReportMATTHEW PATRICK DUFFY

Report #78667-40467, data current as of Thursday, June 04, 2015.

Section TitleReport Summary

Broker Qualifications

Registration and Employment History

CRD# 4864056

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About BrokerCheck

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MATTHEW P. DUFFYCRD# 4864056

Currently employed by and registered with thefollowing Firm(s):

LIFESCI CAPITAL250 WEST 55TH STREETSUITE 16BNEW YORK, NY 10019CRD# 168404Registered with this firm since: 10/01/2014

LIFESCI CAPITAL250 West 55th StreetSuite 16BNew York, NY 10019CRD# 168404Registered with this firm since: 10/01/2014

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? No

Investment Adviser RepresentativeInformation

http://www.adviserinfo.sec.gov

The information below represents the individual'srecord as a broker. For details on this individual'srecord as an investment adviser representative,visit the SEC's Investment Adviser PublicDisclosure website at

Broker QualificationsThis broker is registered with:

1 Self-Regulatory Organization2 U.S. states and territories

This broker has passed:0 Principal/Supervisory Exams1 General Industry/Product Exam2 State Securities Law Exams

Registration HistoryThis broker was previously registered with thefollowing securities firm(s):

ROBERTS MITANI, LLCCRD# 30022NEW YORK, NY05/2012 - 09/2014

CONCEPT CAPITAL MARKETS, LLCCRD# 153397NEW YORK, NY05/2011 - 11/2011

www.finra.org/brokercheck User Guidance

12015 FINRA. All rights reserved. Report# 78667-40467 about MATTHEW P. DUFFY. Data current as of Thursday, June 04, 2015.



RegistrationsThis section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currentlyregistered and licensed with, the category of each license, and the date on which it became effective. This section alsoprovides, for every brokerage firm with which the broker is currently employed, the address of each branch where thebroker works.This individual is currently registered with 1 SRO and is licensed in 2 U.S. states and territories through his orher employer.

Employment 1 of 1Firm Name:Main Office Address:

Firm CRD#:

LIFESCI CAPITAL

168404

250 WEST 55TH STREETSUITE 16BNEW YORK, NY 10019

SRO Category Status Date

FINRA General Securities Representative APPROVED 10/01/2014

U.S. State/Territory

Category Status Date

Connecticut Agent APPROVED 01/02/2015

New York Agent APPROVED 10/01/2014

Branch Office Locations

LIFESCI CAPITAL250 West 55th StreetSuite 16BNew York, NY 10019




Industry Exams this Broker has Passed

This individual has passed 0 principal/supervisory exams, 1 general industry/product exam, and 2 statesecurities law exams.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a brokermay attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying workexperience. Any exam waivers that the broker has received are not included below.

Exam Category Date

Principal/Supervisory Exams

No information reported.

Exam Category Date

General Industry/Product Exams

General Securities Representative Examination 05/12/2011Series 7

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 05/23/2011Series 63

Uniform Investment Adviser Law Examination 05/11/2005Series 65

Additional information about the above exams or other exams FINRA administers to brokers and other securitiesprofessionals can be found at www.finra.org/brokerqualifications/registeredrep/.




Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

05/2012 - 09/2014 ROBERTS MITANI, LLC 30022 NEW YORK, NY

05/2011 - 11/2011 CONCEPT CAPITAL MARKETS, LLC 153397 NEW YORK, NY

Employment History

Employment Dates Employer Name Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker onthe most recently filed Form U4.

Please note that the broker is required to provide this information only while registered with FINRA or a nationalsecurities exchange and the information is not updated via Form U4 after the broker ceases to be registered.Therefore, an employment end date of "Present" may not reflect the broker's current employment status.

10/2014 - Present LIFESCI ADVISORS NEW YORK, NY

09/2014 - Present LIFESCI CAPITAL NEW YORK, NY

07/2011 - Present BDR RESEARCH GROUP, LLC WILTON, CT

05/2012 - 09/2014 ROBERTS MITANI, LLC NEW YORK, NY

05/2011 - 11/2011 CONCEPT CAPITAL MARKETS, LLC NEW YORK, NY

07/2001 - 11/2011 BLACK DIAMOND RESEARCH NEW YORK, NY

11/2007 - 10/2008 LEV PHARMACEUTICALS NEW YORK, NY

Other Business ActivitiesThis section includes information, if any, as provided by the broker regarding other business activities the broker iscurrently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This sectiondoes not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and isrecognized as tax exempt.

1.) LIFESCI ADVISORS LLC, NEW YORK, NY; NOT INVESTMENT-RELATED, SINCE 10/2014; MANAGINGDIRECTOR; 40 HOURS/WEEK.

2.) CORMEDIX,INC;NOT INVESTMENT RELATED;BRIDGEWATER,NJ;MEDICAL DEVICES ANDDRUGS;DIRECTOR;11/2011;10-15 HRS/MONTH;2-4 HRS DURING TRADING;BOARD OF DIRECTORS.

3.) BDR RESEARCH GROUP LLC;NOT INVESTMENT RELATED;10 BRANDON CIR,WILTON,CT06897;CONSULTING;PARTNER;7/2001;10 HRS/MONTH;2-4 HRS DURING TRADING;PHARMACEUTICALCONSULTING.

4.) NSIP,LLC;INVESTMENT RELATED;795 RTE 70 E,SUITE E,MARLTON,NJ 08053;PRIVATE EQUITYFUND;GENERAL PARTNER;2009;10-15 HRS/MONTH;3-5 HRS DURING TRADING;INVESTMENTEVALUATION,FUNDRAISING.

5.) ALGORITHM SCIENCES,LLC;NOT INVESTMENT RELATED;WILMINGTON,DE;PHARMACEUTICALPRODUCTS;FOUNDER;4/2009;5-10 HRS/MONTH;1-3 HRS DURING TRADING;BUSINESS PLANNING.

6.) IDENTIC PHARMACEUTICALS,LLC;NOT INVESTMENT RELATED;10 BRANDON CIR,WILTON,CT06897;PHARMACEUTICAL PRODUCTS;FOUNDER;2011;3-5 HRS/MONTH;1 HR/MONTH;BUSINESS PLANNING.




Other Business Activities, continued06897;CONSULTING;PARTNER;7/2001;10 HRS/MONTH;2-4 HRS DURING TRADING;PHARMACEUTICALCONSULTING.

4.) NSIP,LLC;INVESTMENT RELATED;795 RTE 70 E,SUITE E,MARLTON,NJ 08053;PRIVATE EQUITYFUND;GENERAL PARTNER;2009;10-15 HRS/MONTH;3-5 HRS DURING TRADING;INVESTMENTEVALUATION,FUNDRAISING.

5.) ALGORITHM SCIENCES,LLC;NOT INVESTMENT RELATED;WILMINGTON,DE;PHARMACEUTICALPRODUCTS;FOUNDER;4/2009;5-10 HRS/MONTH;1-3 HRS DURING TRADING;BUSINESS PLANNING.

6.) IDENTIC PHARMACEUTICALS,LLC;NOT INVESTMENT RELATED;10 BRANDON CIR,WILTON,CT06897;PHARMACEUTICAL PRODUCTS;FOUNDER;2011;3-5 HRS/MONTH;1 HR/MONTH;BUSINESS PLANNING.



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Report SummaryBroker QualificationsRegistration and Employment History

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CRD of CRMD Director Matthew Duffy