James Karl Duke

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2003 → 11/2019
  Mass Mutual Life Insurance Company
  Salt Lake City, UT
• 02/2003 → 11/2019
  Mml Investors Services, Llc
  Salt Lake City, UT
• 11/2019 → Present
  Lpl Financial Llc
  Salt Lake City, UT

Previous Registrations

• 2004-08-30 → 2019-11-01
  Mml Investors Services, Llc
  Salt Lake City, UT
  Lehi, UT

Other Businesses

1. 11/01/2019 - HIGHPOINTE FINANCIAL/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ SALT LAKE CITY, UT 2. 08/01/2018 - ELLEE DUKE MUSIC PUBLISHING, LLC/ BUSINESS ENTITY FOR TAX ACCOUNTING PURPOSES/ INVESTMENT RELATED/ 4%/ DRAPER, UT 3. 08/01/2014 - ELLEE DUKE MUSIC, LLC/ BUSINESS ENTITY FOR TAX, INVESTMENT PURPOSES ONLY/ NOT INVESTMENT RELATED/ 4%/ DRAPER, UT 4. 12/19/2019 - HIGHPOINTE FINANCIAL PARTNERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/17/2019 - 160 Hours Per Month During Securities Trading. 5. 03/05/2024 - INFO1 Health Plans - Insurance Agency - Investment Related - At Reported Business Location(s) - Start Date 09/01/2023 - 10 Hours Per Month/ 1 Hour During Trading 6. 03/05/2024 - JKD Professional Insurance Consulting - Insurance Agency - Investment Related - At Reported Business Location(s) - Start Date 09/01/2023 - 20 Hours Per Month/ 10 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2003-07-08
• S63 Uniform Securities Agent State Law Examination
  1993-03-29

Other Names

• Munroe Duke