John Michael 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

• 07/1982 → Present
  Ohio National Life Ins. Co.
  Richmond, VA
• 10/2014 → 03/2020
  Capitol Securities Management
  Beaverdam, VA
• 01/1993 → Present
  Duke Agency
  Montpelier, VA
• 03/2020 → 05/2024
  Hilltop Securities Independent Network
  Dallas, TX
• 05/2024 → Present
  Lpl Financial
  Beaverdam, VA

Other Businesses

1)02/13/2024 - Highland Partners Financial Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/2020 - 40 Hr/Mth 2)02/13/2024 - Duke Agency - Insurance Agency - Inv Rel - At Reported Business Location(s) - Start: 06/1994 - 40 Hr/Mth 3)02/13/2024 - Duke Agency Tennent - Real Estate Rental - Beaverdam,VA - Inv Rel - Start: 06/2000 4)02/13/2024 - Real Estate Rental - Farm Land that is Leased for Crops to Area Farmers - Inv Rel - Beaverdam, VA - Start: 06/2015

Exams

• S63 Uniform Securities Agent State Law Examination
  2015-12-01

Designations

• Chartered Financial Consultant