James R. 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.
James Robert Duke, who also goes by James R Duke, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1977. James had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2014 - August 18, 2015
CARLSON INVESTMENTS
October 7, 2010 - January 28, 2013
MORGAN STANLEY
October 7, 2010 - January 28, 2013
MORGAN STANLEY
November 21, 2005 - September 7, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2005 - September 7, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 2005 - November 25, 2005
A. G. EDWARDS & SONS, INC.
January 12, 1989 - November 25, 2005
A. G. EDWARDS & SONS, INC.
June 17, 1980 - January 28, 1989
ADVEST, INC.
September 27, 1977 - July 4, 1980
ROBERT C. CARR & CO., INC.
February 1, 1977 - November 4, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
February 1, 1977 - November 4, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
February 1, 1977 - November 4, 1977
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
CARLSON INVESTMENTS
CRD#: 105729 / SEC#: 801-34606
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
Series 1
Date: 1/22/1977
Registered Representative ExaminationSeries 8
Date: 11/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CARLSON INVESTMENTS
CRD#: 105729 / SEC#: 801-34606
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 901 |
| AUM (Assets Under Management) | $ 694,630,096 |
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.
