Thomas U. Dudley

DUDLEY CAPITAL MANAGEMENT LLC

Middleburg, VA 20117

Some features on this profile are disabled

CRD#: 72621

Professional summary

Thomas U Dudley II, who also goes by Thomas Underwood Dudley II, Thomas Underwood Dudley, Thomas U Dudley Ii Ii, is a registered financial advisor currently at DUDLEY CAPITAL MANAGEMENT LLC located in Middleburg, Virginia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 24, Series 8 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Underwood Dudley Ii | Thomas Underwood Dudley | Thomas U Dudley Ii Ii

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) - RIA

Click below to view Thomas U Dudley II'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

March 7, 2019 - Present

DUDLEY CAPITAL MANAGEMENT LLC

Office #1: 115 The Plains Road Suite 250, Middleburg, VA 20117

RIA

CRD#: 282958

Middleburg, VA

Past

June 1, 2009 - February 9, 2017

MORGAN STANLEY

RIA

CRD#: 149777

LEESBURG, VA

Past

June 1, 2009 - February 9, 2017

MORGAN STANLEY

CRD#: 149777

LEESBURG, VA

Past

December 23, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WASHINGTON, DC

Past

November 28, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WASHINGTON, DC

Past

June 18, 2007 - December 19, 2008

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

WASHINGTON, DC

Past

January 13, 2001 - December 19, 2008

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

WASHINGTON, DC

Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

February 3, 1989 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

March 20, 1973 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

May 7, 1970 - October 11, 1972

DREXEL FIRESTONE INC

CRD#: 1000002

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".

DUDLEY CAPITAL MANAGEMENT LLC

DUDLEY CAPITAL MANAGEMENT LLC | PRCDUDLEY & CO

CRD#: 282958 / SEC#: 801-108148

RIA

Registered Investment Advisory firm - (7/25/2016 Approved)

Virginia

Registered Investment Advisory firm - (3/28/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Virginia
(3/7/2019)

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: 6/29/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 7/21/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 8/12/1966

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/31/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/28/1989

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 40

Date: 4/27/1970

Registered Principal Examination

Current Firm

DUDLEY CAPITAL MANAGEMENT LLC

DUDLEY CAPITAL MANAGEMENT LLC | PRCDUDLEY & CO

CRD#: 282958 / SEC#: 801-108148

RIA

Registered Investment Advisory firm - (7/25/2016 Approved)

Virginia

Registered Investment Advisory firm - (3/28/2018 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

115 The Plains Road Suite 250, Middleburg, VA 20117

Mailing Address

P.o. Box 494, Middleburg, VA 20118

Phone number

(540) 687-4600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DUDLEY BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	329
AUM (Assets Under Management)	$ 250,498,257

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/27/2024	Cover Page	Report
08/11/2023	Cover Page	Report
09/21/2022	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.

Similar Advisors

Nicole Amore

PARALLEL ADVISORS, LLC

IAR

WOOD DALE, IL

Casey Mack

THE SUM

IAR

The Woodlands, TX

Daniel Braddock

ALMEGA WEALTH MANAGEMENT

IAR

Raliegh, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas U. Dudley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas U Dudley II's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

ALEX. BROWN & SONS INCORPORATED

DREXEL FIRESTONE INC

Primary Firm SEC Registration

DUDLEY CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2004

Series 63

Date: 11/14/1979

SIE

Date: 2/9/2017

PC

Date: 7/21/1977

Series 1

Date: 8/12/1966

Series 24

Date: 3/31/1998

Series 8

Date: 2/28/1989

Series 40

Date: 4/27/1970

Current Firm

DUDLEY CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DUDLEY CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors