Jonathan N. Duke
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.
Jonathan Nile Duke, who also goes by Jon Duke, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1991. Jonathan had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2015 - May 17, 2016
WELLS FARGO SECURITIES, LLC
December 12, 2007 - April 24, 2015
STERNE, AGEE & LEACH, INC.
March 1, 2007 - December 18, 2007
J.P. MORGAN SECURITIES LLC
May 25, 2006 - March 16, 2007
RBC CAPITAL MARKETS, LLC
March 21, 2006 - May 24, 2006
FHN FINANCIAL SECURITIES CORP.
March 2, 1998 - April 12, 2006
RBC CAPITAL MARKETS, LLC
May 19, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
August 26, 1996 - May 23, 1997
MORGAN KEEGAN & COMPANY, LLC
March 26, 1992 - August 28, 1996
ICBA SECURITIES
October 1, 1991 - August 28, 1996
VINING-SPARKS IBG, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
