Randy W. Duke

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CRD#: 3171982

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.

Randy Wayne Duke, who also goes by Randy Duke, was a registered financial professional .

Randy is a previously registered financial professional and started their career in finance in 1999. Randy had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randy 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 11, 2016 - November 22, 2016

VIRTUE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167816

Wentzville, MO

Past

December 19, 2012 - April 11, 2016

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Saint Louis, MO

Past

April 14, 2008 - May 14, 2014

R.W. DUKE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 146167

JACKSON, MO

Past

September 2, 2003 - October 19, 2007

FIRST STATE FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 16590

CAPE GIRARDEAU, MO

Past

September 2, 2003 - October 19, 2007

FIRST STATE FINANCIAL MANAGEMENT, INC.

CRD#: 16590

CAPE GIRARDEAU, MO

Past

April 18, 2002 - September 3, 2003

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

JACKSON, MO

Past

February 14, 2002 - September 3, 2003

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

September 20, 2001 - February 12, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

August 17, 2000 - September 4, 2001

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

August 17, 2000 - September 4, 2001

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

January 24, 2000 - August 7, 2000

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

April 28, 1999 - December 21, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 28, 1999 - December 21, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

VIRTUE CAPITAL MANAGEMENT, LLC

CRD#: 167816 / SEC#: 801-79938

RIA

Registered Investment Advisory firm - (6/25/2014 Approved)

Arizona

Registered Investment Advisory firm - (7/1/2014 Terminated)

California

Registered Investment Advisory firm - (7/31/2014 Terminated)

Florida

Registered Investment Advisory firm - (7/1/2014 Terminated)

Georgia

Registered Investment Advisory firm - (7/1/2014 Terminated)

Kentucky

Registered Investment Advisory firm - (7/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2014 Terminated)

Ohio

Registered Investment Advisory firm - (7/1/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/1/2014 Terminated)

Tennessee

Registered Investment Advisory firm - (7/31/2014 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2014 Terminated)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 4/10/2008

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/22/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/27/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/2006

General Securities Principal Examination

Current Firm

VIRTUE CAPITAL MANAGEMENT, LLC

CRD#: 167816 / SEC#: 801-79938

RIA

Registered Investment Advisory firm - (6/25/2014 Approved)

Arizona

Registered Investment Advisory firm - (7/1/2014 Terminated)

California

Registered Investment Advisory firm - (7/31/2014 Terminated)

Florida

Registered Investment Advisory firm - (7/1/2014 Terminated)

Georgia

Registered Investment Advisory firm - (7/1/2014 Terminated)

Kentucky

Registered Investment Advisory firm - (7/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2014 Terminated)

Ohio

Registered Investment Advisory firm - (7/1/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/1/2014 Terminated)

Tennessee

Registered Investment Advisory firm - (7/31/2014 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2014 Terminated)

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Contact information

Main Address

6 Cadillac Dr. Suite 310, Brentwood, TN 37027

Mailing Address

Phone number

(615) 340-0801

Established

Firm type

Fiscal year end

# of Employees

110

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VCM ADV PART 2A (3/28/2024)

Regulatory assets under management

Total Number of Accounts	6,111
AUM (Assets Under Management)	$ 787,466,707

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.

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Advisor Monitoring

Firm Stability Insights

Randy W. Duke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORTER INVESTMENT MANAGEMENT, LLC

R.W. DUKE CAPITAL MANAGEMENT, LLC

FIRST STATE FINANCIAL MANAGEMENT, INC.

FIRST STATE FINANCIAL MANAGEMENT, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

NEW ENGLAND SECURITIES

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

WALNUT STREET SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VIRTUE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2008

Series 65

Date: 3/22/2002

Series 63

Date: 3/29/1999

Series 7

Date: 4/27/1999

Series 24

Date: 9/25/2006

Current Firm

VIRTUE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VIRTUE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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