John D. 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.
John David Duke, who also goes by John David Duke Jr., was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2008. John had worked at 5 firms and has passed the Series 66, 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
August 25, 2017 - September 12, 2019
AVANTAX ADVISORY SERVICES
August 23, 2017 - September 12, 2019
AVANTAX INVESTMENT SERVICES, INC.
January 4, 2010 - July 31, 2017
WILBANKS SECURITIES ADVISORY
January 4, 2010 - July 31, 2017
WILBANKS SECURITIES, INC.
September 15, 2008 - December 31, 2009
INVEST FINANCIAL CORPORATION
July 18, 2008 - December 31, 2009
INVEST FINANCIAL CORPORATION
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
