James V. Duty

ROSELINE CAPITOL ADVISORS

Richmond, VA 23219

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CRD#: 2700535

Professional summary

James Vanmeter Duty, CFP®, who also goes by James Duty, Jim Duty, is a registered financial advisor currently at ROSELINE CAPITOL ADVISORS, LLC located in Richmond, Virginia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Duty | Jim Duty

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) - RIA

Click below to view James Vanmeter Duty'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®

CFP^®

Certified Financial Planner

Experience

Current

February 8, 2006 - Present

ROSELINE CAPITOL ADVISORS, LLC

Office #1: 140 Virginia St. Suite 300, Richmond, VA 23219

RIA

CRD#: 137604

Richmond, VA

Past

March 8, 1996 - November 15, 2005

KPMG INVESTMENT ADVISORS

RIA

CRD#: 111778

RICHMOND, VA

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.

Highlighted states indicate IAR registrations

IAR

Virginia
(2/8/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/20/1995

Uniform Investment Adviser Law Examination

Current Firm

ROSELINE CAPITOL ADVISORS, LLC

CRD#: 137604 / SEC#: 801-64868

RIA

Registered Investment Advisory firm - (5/27/2014 Terminated)

Virginia

Registered Investment Advisory firm - (5/22/2014 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

140 Virginia St. Suite 300, Richmond, VA 23219

Mailing Address

Phone number

(804) 545-7440

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	62
AUM (Assets Under Management)	$ 53,405,686

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.

Contact information

xxxxx@xxxx.xxx

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James V. Duty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Vanmeter Duty's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSELINE CAPITOL ADVISORS, LLC

KPMG INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1995

Current Firm

ROSELINE CAPITOL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROSELINE CAPITOL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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