Janet H. Dukes
TRANSAMERICA FINANCIAL ADVISORS
Charlotte, NC 28273
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CRD#: 6137552
Professional summary
Janet Herdman Dukes, CFP®, who also goes by Janet Elizabeth Dukes, Janet Herdman Dukes, Janet Elizabeth Herdman, Janet Elizabeth Herdman, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Charlotte, North Carolina.
Janet is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Janet has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Janet Elizabeth Dukes | Janet Herdman Dukes | Janet Elizabeth Herdman | Janet Elizabeth Herdman
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. HERDMAN DUKES LLC/Investment Related - No/2320 Iveytown Rd., Lincolnton, GA 30817/to Report income on S Corp/Owner/06.2014/1/0/file tax return RENTAL PROPERTY/Investment Related - No/2295 Iveytown Rd., Lincolnton, GA 30817/Owner of Real Estate Rental Property/Owner/01.2006/1/0/Home maintenance TRANSAMERICA AGENCY NETWORK/Investment Related - Yes/100 Light Street, Floor B1, Baltimore, MD 21202/Sales and Service of Insurance Products/Insurance Agent /03.2022/100/90/Sales and Service of Insurance Products UNITED FINANCIAL SERVICES/Investment Related - No/100 Light Street, Floor B1, Baltimore, MD 21202/UFS is Insurance; TFA is Securities/Affiliated Associate/03.2022/20/15/UFS is Insurance; TFA is Securities
CRS (Client Relationship Summary) - RIA
Click below to view Janet Herdman Dukes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Janet Herdman 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®
CFP®
Start date: 2017
Experience
Current
April 20, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 3545 Whitehall Park Drive Suite 175, Charlotte, NC 28273RIA
BD
CRD#: 16164
Charlotte, NC
Current
April 20, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 3545 Whitehall Park Drive Suite 175, Charlotte, NC 28273RIA
BD
CRD#: 16164
Charlotte, NC
Past
May 4, 2017 - April 7, 2022
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
McCormick, SC
Past
January 14, 2013 - April 7, 2022
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MCCORMICK, SC
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Georgia(4/20/2022)
IAR
Georgia(4/25/2022)
RR
North Carolina(1/2/2024)
IAR
North Carolina(1/2/2024)
RR
South Carolina(4/20/2022)
IAR
South Carolina(4/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
