Thomas U Dudley Ii
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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Underwood Dudley Ii, Thomas Underwood Dudley, Thomas U Dudley Ii Ii
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
60 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
DUDLEY CAPITAL MANAGEMENT LLC | PRCDUDLEY & CO
Contact Information
Main Address
115 The Plains Road Suite 250, Middleburg, VA 20117Mailing Address
P.o. Box 494, Middleburg, VA 20118Phone Number
(540) 687-4600# of Employees
3SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
357AUM (Assets Under Management)
$291,664,828Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/14/2026 | Cover Page | Report |
| 10/16/2025 | Cover Page | Report |
| 09/27/2024 | Cover Page | Report |
| 08/11/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
DUDLEY CAPITAL MANAGEMENT LLC | PRCDUDLEY & CO
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Jul 1977Series 1 — Registered Representative Examination
Passed Aug 1966Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Feb 1989Series 40 — Registered Principal Examination
Passed Apr 1970Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas U Dudley II's CRS (Customer Relationship Summary).
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