Ronald A. Dukes

HAAS INVESTMENT MANAGEMENT

NORFOLK, VA

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CRD#: 73012

Professional summary

Ronald Alan Dukes, who also goes by Ron Dukes, is a registered financial advisor currently at HAAS INVESTMENT MANAGEMENT LLC located in Norfolk, Virginia.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1971. Ronald has worked at 16 firms and has passed the Series 63, Series 7, Series 1, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron Dukes

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 Ronald Alan 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®

None

Experience

Current

November 9, 2010 - Present

HAAS INVESTMENT MANAGEMENT LLC

RIA

CRD#: 154886

NORFOLK, VA

Past

October 17, 2008 - December 31, 2009

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

NORFOLK, VA

Past

October 14, 2008 - October 14, 2008

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

NORFOLK, VA

Past

October 14, 2008 - December 31, 2009

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

NORFOLK, VA

Past

August 15, 2003 - October 3, 2008

OSAIC WEALTH, INC.

RIA

CRD#: 23131

NORFOLK, VA

Past

July 9, 1997 - July 18, 2003

DUKES & CO ADVISORY, INC.

RIA

CRD#: 108597

VIRGINIA BEACH, VA

Past

May 19, 1997 - October 3, 2008

OSAIC WEALTH, INC.

CRD#: 23131

NORFOLK, VA

Past

March 7, 1995 - May 19, 1997

DAVENPORT-DUKES FINANCIAL SERVICES, INC.

CRD#: 37664

Past

November 19, 1989 - March 21, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 28, 1987 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 29, 1986 - August 1, 1987

SSV SECURITIES, INC.

CRD#: 17103

Past

December 23, 1981 - November 3, 1986

FSC SECURITIES CORPORATION

CRD#: 7461

Past

March 17, 1977 - August 3, 1979

G. R. PHELPS & CO., INC.

CRD#: 173

Past

June 11, 1975 - May 1, 1977

CORNERSTONE FINANCIAL SERVICES, INC.

CRD#: 953

Past

November 1, 1974 - May 24, 1975

TOWER SQUARE SECURITIES, INC.

CRD#: 833

Past

July 3, 1974 - August 2, 1977

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Past

June 27, 1973 - May 5, 1974

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

November 17, 1972 - May 30, 1973

WEIS SECURITIES, INC.

CRD#: 880

Past

September 18, 1972 - December 20, 1972

F. S. MOSELEY & CO.

CRD#: 275

Past

November 24, 1971 - November 16, 1972

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

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
(11/9/2010)

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

Series 63

Date: 12/28/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 11/23/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/20/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/16/1982

General Securities Principal Examination

Current Firm

HAAS INVESTMENT MANAGEMENT LLC

CRD#: 154886 / SEC#:

Virginia

Registered Investment Advisory firm - (10/1/2010 Approved)

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Contact information

Main Address

712 Mobjack Place, Newport News, VA 23606

Mailing Address

Phone number

(757) 873-0454

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Advisor Monitoring

Firm Stability Insights

Ronald A. Dukes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Alan Dukes's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAAS INVESTMENT MANAGEMENT LLC

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

DUKES & CO ADVISORY, INC.

OSAIC WEALTH, INC.

DAVENPORT-DUKES FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

SSV SECURITIES, INC.

FSC SECURITIES CORPORATION

G. R. PHELPS & CO., INC.

CORNERSTONE FINANCIAL SERVICES, INC.

TOWER SQUARE SECURITIES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

A. G. EDWARDS & SONS, INC.

WEIS SECURITIES, INC.

F. S. MOSELEY & CO.

BLYTH EASTMAN DILLON & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/1981

Series 7

Date: 12/19/1981

Series 1

Date: 11/23/1971

Series 51

Date: 3/20/2003

Series 24

Date: 9/16/1982

Current Firm

HAAS INVESTMENT MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

HAAS INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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