David V. 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.
David Vance Duke was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2012 - September 8, 2015
CARY STREET PARTNERS
June 25, 2009 - January 5, 2012
FD CAPITAL ADVISORS BD, LLC
May 30, 2006 - September 5, 2008
HEADWATERS BD, LLC
January 25, 2005 - February 16, 2006
SYNOVUS SECURITIES, INC.
January 25, 2005 - February 16, 2006
SYNOVUS SECURITIES, INC.
July 1, 2003 - January 25, 2005
TRUIST INVESTMENT SERVICES, INC.
May 14, 2003 - January 25, 2005
TRUIST INVESTMENT SERVICES, INC.
April 24, 2002 - July 19, 2002
EQUIPLACE SECURITIES LLC
March 23, 2001 - April 17, 2002
DUNWOODY BROKERAGE SERVICES, INC.
January 31, 1995 - July 14, 1997
CAPITAL CLIENT GROUP, INC.
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
CARY STREET PARTNERS
CRD#: 128089 / SEC#: , 8-66085
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARY STREET PARTNERS FINANCIAL LLC | SOLE MEMBER OF BROKER-DEALER | |
| BAYNE, WALTER DONALD | PRESIDENT OF BROKER-DEALER AND MANAGING DIRECTOR OF CSPF | 4427332 |
| GALLUP, WESLEY HAMILTON | CHIEF OPERATING OFFICER OF CSPF | 5037007 |
| HAYES, JAIMAL CHARAN | CHIEF COMPLIANCE OFFICER OF BROKER-DEALER | 4259937 |
| MITCHELL, KEVIN LEE | HEAD OF ACCOUNTING - CONTROLLER AND FINANCIAL OPERATIONS PRINCIPAL OF BROKER-DEALER | 3085157 |
| RUBIN, MATTHEW LAWRENCE | CHIEF INVESTMENT OFFICER OF CSPF | 3057508 |
| SCHMUCKLER, JOSEPH REDMOND | CHIEF EXECUTIVE OFFICER OF CSPF | 1156472 |
| TULLIDGE, THOMAS HOGSHEAD JR | SECRETARY/TREASURER OF BROKER-DEALER AND CHIEF STRATEGY OFFICER, LEGAL AND FINANCE OF CSPF | 2858022 |
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.
