Robert J. Dukes
Professional summary
Robert James Dukes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, Robert had worked at 11 firms, which includes CUNA BROKERAGE SERVICES INC., TRANSAMERICA FINANCIAL ADVISORS INC., FIRST UNION CAPITAL MARKETS CORP., HOWARD WEIL INCORPORATED, LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION, MARKETING ONE SECURITIES INC., CHARLES SCHWAB & CO. INC., PRUCO SECURITIES LLC., INDEPENDENCE SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2000 - May 2, 2001
CUNA BROKERAGE SERVICES, INC.
November 7, 1995 - July 3, 2000
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 22, 1994 - November 14, 1995
FIRST UNION CAPITAL MARKETS CORP.
August 26, 1993 - July 26, 1994
HOWARD WEIL INCORPORATED
February 19, 1992 - August 25, 1993
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
August 11, 1988 - January 28, 1992
MARKETING ONE SECURITIES, INC.
December 3, 1986 - August 17, 1988
CHARLES SCHWAB & CO., INC.
November 6, 1985 - November 25, 1986
PRUCO SECURITIES, LLC.
March 6, 1985 - August 8, 1985
INDEPENDENCE SECURITIES, INC.
August 31, 1983 - January 14, 1985
FIRST UNION CAPITAL MARKETS CORP.
September 26, 1980 - November 4, 1983
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1979 - September 25, 1980
MORGAN STANLEY DW 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
Series 8
Date: 10/2/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
