Inactive

Timothy Lynn Dukes

Dukes Financial Group, LLC

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Current Employers

Dukes Financial Group, Llc

Charlotte, NC • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2010-01-27

NC RA
APPROVED

Since 2010-01-27

Branch Locations

Charlotte, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Various Insurance Carriers	Charlotte	NC	02/2003	Present
Dukes Financial Group, Llc (152512)	Charlotte	NC	12/2009	Present

02/2003 → Present

Various Insurance Carriers

Charlotte, NC
12/2009 → Present

Dukes Financial Group, Llc (152512)

Charlotte, NC

Previous Registrations

2003-03-26 → 2010-01-04

Waddell & Reed

Charlotte, NC

Charlotte, NC

Other Businesses

VARIOUS INSURANCE CARRIERS - 2924 POLO RIDGE CT. - CHARLOTTE, NC 28210 - INV. REL. YES - INSURANCE SALES - INSURANCE AGENT - 02/2003 TO PRESENT.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-03-24
S63	Uniform Securities Agent State Law Examination	2003-02-28

S65 Uniform Investment Adviser Law Examination

2003-03-24
S63 Uniform Securities Agent State Law Examination

2003-02-28

Other Names

Tim Lynn Dukes

View on SEC IAPD

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