CD
Christopher M. Dukes
WESTPARK CAPITAL
Westlake Village, CA 91362
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CRD#: 4712873
CD
Professional summary
Christopher Michael Dukes, who also goes by Chris Dukes, Christopher Dukes, is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Westlake Village, California.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2007. Christopher has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Dukes | Christopher Dukes
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.
CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael Dukes'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®
NoneExperience
Current
November 14, 2017 - Present
WESTPARK CAPITAL, INC.
Office #1: 31194 La Baya Dr. Suite 101, Westlake Village, CA 91362RIA
BD
CRD#: 39914
Westlake Village, CA
Past
November 1, 2018 - December 4, 2019
DELTA INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 149596
Thousand Oaks, CA
Past
April 3, 2017 - June 14, 2017
SGMA CAPITAL MARKETS LIMITED
BD
CRD#: 135327
THOUSAND OAKS, CA
Past
September 20, 2010 - December 31, 2018
VFG ADVISORS, INC.
RIA
CRD#: 150370
CANOGA PARK, CA
Past
September 16, 2010 - November 13, 2017
VFG SECURITIES, INC.
BD
CRD#: 15121
Thousand Oaks, CA
Past
June 18, 2008 - October 12, 2010
WOODSTOCK FINANCIAL GROUP, INC.
RIA
CRD#: 38095
CANOGA PARK, CA
Past
May 23, 2007 - October 12, 2010
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
CANOGA PARK, CA
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".
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
CRD#: 39914 / SEC#: 801-108275, 8-48898
RIA
Registered Investment Advisory firm - SEC (9/7/2016 Approved)California
Registered Investment Advisory firm - SEC (10/14/2016 Terminated)New York
Registered Investment Advisory firm - SEC (9/14/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/14/2017)
RR
Arkansas(11/14/2017)
RR
California(11/14/2017)
RR
Florida(7/18/2019)
RR
Hawaii(11/15/2017)
RR
Idaho(11/14/2017)
RR
Indiana(1/4/2021)
RR
Kansas(2/12/2019)
RR
Kentucky(8/12/2020)
RR
Mississippi(7/23/2025)
RR
Nebraska(4/15/2019)
RR
Nevada(11/14/2017)
RR
South Carolina(11/14/2017)
RR
Texas(11/14/2017)
RR
Wisconsin(5/25/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 1/17/2008
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
CRD#: 39914 / SEC#: 801-108275, 8-48898
RIA
Registered Investment Advisory firm - SEC (9/7/2016 Approved)California
Registered Investment Advisory firm - SEC (10/14/2016 Terminated)New York
Registered Investment Advisory firm - SEC (9/14/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
1800 Century Park East 22nd Floor, New York, NY 10017
Mailing Address
1800 Century Park East Suite 220, Los Angeles, CA 90067
Phone number
(310) 843-9300
Established
Michigan since 09/05/2025
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
15
SEC notice filing (21 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 47,569,260 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
