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TD

Terence K. Duke

Some features on this profile are disabled
CRD#: 5863901
TD

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.

Terence Kirk Duke, who also goes by Terence Kirk Duke, was a registered financial professional .

Terence is a previously registered financial professional and started their career in finance in 2011. Terence had worked at 17 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Terence Kirk 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

October 30, 2019 - June 1, 2020

FIDUCIARY EXPERTS LLC

RIA
CRD#: 146721
Redondo Beach, CA
Past

December 3, 2018 - October 14, 2019

ONEDIGITAL

RIA
CRD#: 106766
Long Beach, CA
Past

March 21, 2018 - December 31, 2018

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
Long Beach, CA
Past

March 19, 2018 - December 31, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
LONG BEACH, CA
Past

February 17, 2017 - April 9, 2018

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
SHERMAN OAKS, CA
Past

November 15, 2016 - April 9, 2018

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
SHERMAN OAKS, CA
Past

September 9, 2015 - June 15, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
el segundo, CA
Past

September 9, 2015 - June 15, 2016

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
EL SEGUNDO, CA
Past

September 9, 2015 - June 15, 2016

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
El Segundo, CA
Past

September 9, 2015 - June 15, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
EL SEGUNDO, CA
Past

September 9, 2015 - June 15, 2016

GIRARD SECURITIES, INC.

BD
CRD#: 18697
EL SEGUNDO, CA
Past

September 9, 2015 - June 15, 2016

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
El Segundo, CA
Past

September 9, 2015 - June 15, 2016

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EL SEGUNDO, CA
Past

September 9, 2015 - June 15, 2016

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
EL SEGUNDO, CA
Past

September 9, 2015 - June 15, 2016

CETERA ADVISORS LLC

BD
CRD#: 10299
EL SEGUNDO, CA
Past

October 16, 2014 - June 15, 2016

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

October 16, 2014 - June 15, 2016

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

June 13, 2013 - August 30, 2013

WADDELL & REED

RIA
CRD#: 866
TORRANCE, CA
Past

June 13, 2013 - August 30, 2013

WADDELL & REED

BD
CRD#: 866
TORRANCE, CA
Past

February 16, 2011 - May 30, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LOS ANGELES, CA
Past

January 17, 2011 - May 30, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LOS ANGELES, 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".
FE
FIDUCIARY EXPERTS LLC
FIDUCIARY EXPERTS LLC

CRD#: 146721 / SEC#: 801-107816

RIA
Registered Investment Advisory firm - (5/16/2016 Approved)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/4/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/14/2011
General Securities Representative Examination

Current Firm

FE
FIDUCIARY EXPERTS LLC
FIDUCIARY EXPERTS LLC

CRD#: 146721 / SEC#: 801-107816

RIA
Registered Investment Advisory firm - (5/16/2016 Approved)
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Contact information

Main Address
Murrieta, CA
Mailing Address
Phone number
(714) 409-8869
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDUCIARY EXPERTS ADV PART 2A (2/4/2025)

Regulatory assets under management

Total Number of Accounts67
AUM (Assets Under Management)$ 890,644,534

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.

Company Information

FIDUCIARY EXPERTS LLC

CRD#: 146721

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