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Kerry Joseph Dukes

ARDOUR CAPITAL INVESTMENTS
LONG BEACH, NY
·CRD# 1773976·39 years experience

Professional Summary

Kerry Joseph Dukes, who also goes by Kerry Joseph Duke, is a registered financial advisor currently at ARDOUR CAPITAL INVESTMENTS, LLC located in Long Beach, New York. Kerry is registered as a RR (Registered Representative) and started their career in finance in 1988. Kerry has worked at 4 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 53 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kerry Joseph Duke

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

ARDOUR CAPITAL INVESTMENTS, LLC·CRD# 120574
BD
780 Long Beach Blvd, Long Beach, NY 11561
October 28, 2002 - Present
CAPITAL GROWTH FINANCIAL, LLC·CRD# 41040
BD
Boca Raton, FL
September 26, 2001 - December 6, 2001
TRADE.COM ONLINE SECURITIES, INC.·CRD# 36189
BD
New York, NY
March 7, 1996 - July 13, 2001
COMMONWEALTH ASSOCIATES·CRD# 20833
BD
New York, NY
July 12, 1988 - October 2, 1995

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Current Firm

AC
ARDOUR CAPITAL INVESTMENTS, LLC

ARDOUR CAPITAL INVESTMENTS, LLC

CRD#: 120574 / SEC#: 8-65317
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Contact Information

Main Address

780 Long Beach Blvd, Long Beach, NY 11561

Mailing Address

755 W Park Ave, Long Beach, NY 11561

Phone Number

(917) 330-3442

Established

Delaware since 01/18/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (9 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
ARDOUR CAPITAL PARTNERS, LLCMANAGING MEMBER—
OBRIEN, JEANMARC EDWARDSHAREHOLDER1728754
APPELSON, STUART DAVIDCHIEF FINANCIAL OFFICER—
DUKES, KERRY JOSEPHMANAGING PARTNER, CHIEF COMPLIANCE OFFICER1773976
GREENSTEIN, BRIAN JAYPRESIDENT/ AML INDEPENDENT AUDITOR1373346

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(4/11/2003)
RR
Connecticut
(1/2/2003)
RR
District of Columbia
(8/31/2005)
RR
Florida
(10/20/2005)
RR
Massachusetts
(1/27/2003)
RR
New Jersey
(2/25/2005)
RR
New York
(12/11/2002)
RR
Pennsylvania
(8/22/2005)
RR
Texas
(10/24/2005)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1996About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed Sep 2025About the Series 52TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1987About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Mar 1992About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed Nov 1989About the Series 53 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Kerry Joseph Dukes's CRS (Customer Relationship Summary).

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