Jimmy W. Duke
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jimmy Warren Duke was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 1981. Jimmy had worked at 4 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 1985 - May 28, 1986
RAUSCHER PIERCE REFSNES, INC.
March 18, 1985 - April 19, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
March 27, 1984 - April 2, 1985
RAUSCHER PIERCE REFSNES, INC.
November 7, 1983 - April 17, 1984
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
June 23, 1981 - December 13, 1982
MORRISON, SCHULTE & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAUSCHER PIERCE REFSNES, INC.
CRD#: 6663 / SEC#: , 8-27271
Contact information
Documents
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.
