JD
Jonathan W. Duke
SYNOVUS SECURITIES
Jasper, AL 35501
Some features on this profile are disabled
CRD#: 1319561
JD
Professional summary
Jonathan Wayne Duke, who also goes by Johnathan Wayne Duke, Johnathan Duke, Jon W Duke, Jon Duke, is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Jasper, Alabama.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Jonathan has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Johnathan Wayne Duke | Johnathan Duke | Jon W Duke | Jon 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.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Wayne Duke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Wayne Duke's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 18, 2005 - Present
SYNOVUS SECURITIES, INC.
Office #1: 200 18th Street West, Jasper, AL 35501Office #2: 800 Shades Creek Parkway, Birmingham, AL 35209Office #3: 2200 Jack Warner Parkway, Tuscaloosa, AL 35401RIA
BD
CRD#: 14023
Jasper, AL
Current
January 4, 2005 - Present
SYNOVUS SECURITIES, INC.
Office #1: 200 18th Street West, Jasper, AL 35501Office #2: 800 Shades Creek Parkway, Birmingham, AL 35209Office #3: 2200 Jack Warner Parkway, Tuscaloosa, AL 35401RIA
BD
CRD#: 14023
Jasper, AL
Past
August 3, 1998 - April 4, 2000
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
January 20, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
August 30, 1986 - January 3, 2005
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
December 12, 1984 - April 21, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
December 12, 1984 - April 22, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/4/2005)
IAR
Alabama(3/18/2005)
RR
Colorado(3/3/2025)
RR
Florida(1/4/2005)
IAR
Florida(3/30/2007)
RR
Georgia(11/11/2008)
IAR
Georgia(11/17/2011)
RR
Kentucky(1/2/2008)
RR
Maryland(3/10/2025)
RR
Mississippi(3/31/2021)
RR
Missouri(3/18/2021)
RR
Montana(11/10/2010)
RR
New Jersey(4/14/2015)
RR
New Mexico(2/24/2025)
RR
New York(4/1/2025)
RR
North Carolina(3/2/2023)
RR
Ohio(1/4/2005)
RR
Pennsylvania(3/3/2025)
RR
South Carolina(10/7/2011)
RR
Tennessee(3/13/2017)
RR
Virginia(1/4/2024)
RR
West Virginia(2/5/2025)
IAR
West Virginia(2/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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
SYNOVUS SECURITIES, INC.
CRD#: 14023Jasper, AL 35501TRUST BUT VERIFY
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