William L. 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.
William Luther Duke, who also goes by Billy Duke, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2002. William had worked at 9 firms and has passed the Series 66, 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
March 21, 2024 - December 31, 2025
CETERA INVESTMENT ADVISERS LLC
January 7, 2019 - March 21, 2024
CETERA ADVISORS LLC
January 4, 2019 - December 31, 2025
CETERA ADVISORS LLC
April 29, 2013 - January 9, 2019
QUESTAR ASSET MANAGEMENT, INC.
April 29, 2013 - January 9, 2019
QUESTAR CAPITAL CORPORATION
February 24, 2010 - May 1, 2013
CAPSOUTH WEALTH MANAGEMENT
February 19, 2010 - May 2, 2011
NBC SECURITIES, INC.
January 1, 2008 - February 22, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 22, 2010
WELLS FARGO CLEARING SERVICES, LLC
April 21, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 14, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
September 24, 2002 - January 19, 2005
EDWARD JONES
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
