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JD

Joseph P. Duke

Some features on this profile are disabled
CRD#: 1226045
JD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Patrick Duke, who also goes by Pat Duke, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1984. Joseph had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pat Duke

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 1, 2015 - December 31, 2019

MCG SECURITIES LLC

BD
CRD#: 163144
WAYNE, PA
Past

November 19, 2012 - December 31, 2014

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

March 21, 2012 - June 7, 2012

AURIGA USA, LLC

BD
CRD#: 121731
NEW YORK, NY
Past

April 15, 2011 - September 8, 2011

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
NEW YORK, NY
Past

November 20, 2008 - October 5, 2009

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

October 24, 2007 - July 2, 2008

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
BALTIMORE, MD
Past

September 19, 2006 - March 16, 2007

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
DALLAS, TX
Past

October 24, 2003 - October 28, 2005

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

October 1, 2001 - October 23, 2003

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

March 9, 2000 - September 21, 2001

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

November 26, 1985 - February 17, 2000

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

February 27, 1984 - September 30, 1985

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/1984
General Securities Representative Examination

Current Firm

MS
MCG SECURITIES LLC
MCG SECURITIES LLC | MERION CAPITAL GROUP

CRD#: 163144 / SEC#: , 8-69068

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
37 West Ave Suite 302, Wayne, PA 19087
Mailing Address
37 West Ave Suite 302, Wayne, PA 19087
Phone number
(610) 337-6500
Established
Pennsylvania since 03/12/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MCG SECURITIES HOLDINGS, LLCOWNER
BODKIN, GREGORY PATRICKCCO3008389
ZELIN, LAWRENCE ARNOLDCEO1655034

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MCG SECURITIES LLC

CRD#: 163144

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