Ronald Alan Dukes

Current Employers

Haas Investment Management Llc

712 Mobjack Place, Newport News, VA 23606 • United States

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2010-11-09

VA RA
APPROVED

Since 2010-11-09

Branch Locations

Norfolk, VA • United States

712 Mobjack Place, Newport News, VA 23606 • United States

400 North Center Drive, Bldg. 3 Suite 212, Norfolk, VA 23502 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Self Employed	Norfolk	VA	01/2010	Present
Haas Investment Management, Llc	Newport News	VA	11/2010	Present
Dukes Financial, Llc	Norfolk	VA	11/2014	Present

01/2010 → Present

Self Employed

Norfolk, VA
11/2010 → Present

Haas Investment Management, Llc

Newport News, VA
11/2014 → Present

Dukes Financial, Llc

Norfolk, VA

Previous Registrations

2008-10-14 → 2009-12-31

Vsr Financial Services, Inc.

Norfolk, VA

Overland Park, KS
2003-08-15 → 2008-10-03

Osaic Wealth, Inc.

Norfolk, VA
1997-07-09 → 2003-07-18

Dukes & Co Advisory, Inc.

Virginia Beach, VA

Other Businesses

INDEPENDENT INS AGENT; INVESTMENT RELATED; INSURANCE SALES AND SERVICES; PARTNER WITH DUKES FINANCIAL, LLC; NORFOLK, VA; APPROXIMATELY 90% OF HIS TIME SPENT IN THIS PRACTICE.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1981-12-28

S63 Uniform Securities Agent State Law Examination

1981-12-28

Designations

Other Names

Ron Dukes

View on SEC IAPD