Jonathan DukeCRD Number: 1319561
Current Firm: Synovus Securities, Inc.
Jonathan Duke (CRD# 1319561) is an Investment Advisor Representative working at Synovus Securities, Inc. in Tuscaloosa, AL and has over 32 years of experience in the finance industry.
Jmf Capstone Wealth Management
Ameriprise Financial Services, Inc.
Raymond James & Associates, Inc.
|First Commercial Bank A Division Of Synovus Bank||Birmingham, AL||Mar 2006 - Current||11|
|Synovus Securities, Inc.||Birmingham, AL||Jan 2005 - Current||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1984|
|S65||NASAA Investment Advisors Law Examination||Mar 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,710MILLIONS
Total Number of Accounts3,948ACCOUNTS
Average Account Value$433,235
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AL, AR, AZ, CA, CO, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI