Duke M. Smith

ALPHASTAR CAPITAL MANAGEMENT

Kankakee, IL 60901

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CRD#: 6906194

Professional summary

Duke Michael Smith, who also goes by Duke M Smith, is a registered financial advisor currently at ALPHASTAR CAPITAL MANAGEMENT located in Kankakee, Illinois.

Duke is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Duke has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Duke M Smith

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.

I sell life insurance and annuities as a part of my financial planning business called Resilience Wealth Management. This Company is an S Corp and is paid a commission for selling those products. I am the owner and founder of Resilience Wealth Management. I founded Resilience Wealth Management in September 2021. I would typically devote 30-40 hours per month to this activity. These hours would be during security trading hours. I use these products as it fits into someones financial plan along with securities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duke Michael Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 6, 2022 - Present

ALPHASTAR CAPITAL MANAGEMENT

Office #1: 150 N. Schuyler Ave Suite 104, Kankakee, IL 60901

RIA

CRD#: 157423

Kankakee, IL

Past

May 4, 2021 - September 1, 2021

ROOTED WEALTH ADVISORS

RIA

CRD#: 313759

BOURBONNAIS, IL

Past

May 18, 2020 - September 7, 2021

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Bourbonnais, IL

Past

January 25, 2018 - April 21, 2020

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 289051

Bourbonnais, IL

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".

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/6/2022)

IAR

Texas
(7/18/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/2017

Uniform Investment Adviser Law Examination

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 Approved)

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Contact information

Main Address

19600 West Catawba Avenue Suite B200, Cornelius, NC 28031

Mailing Address

Phone number

(855) 340-2514

Established

Firm type

Fiscal year end

# of Employees

124

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,592
AUM (Assets Under Management)	$ 1,841,154,148

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/12/2023	Cover Page	Report
06/27/2023	Cover Page	Report
01/24/2023	Cover Page	Report

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.

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Duke M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duke Michael Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHASTAR CAPITAL MANAGEMENT

ROOTED WEALTH ADVISORS

AE WEALTH MANAGEMENT, LLC

WALL STREET FINANCIAL GROUP, INC.

Primary Firm SEC Registration

ALPHASTAR CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2017

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPHASTAR CAPITAL MANAGEMENT

TRUST BUT VERIFY

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