James Karl Duke
Investment adviser representative at LPL Financial LLC
23 yearsExperience
2 statesRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
23 years in the industry.
- LPL Financial LLCNov 2019 to now
- Mass Mutual Life Insurance CompanyFeb 2003 to Nov 2019
- MML Investors Services, LLCFeb 2003 to Nov 2019
Exams passed
- Series 63 · Uniform Securities Agent State Law1993
- Series 66 · Uniform Combined State Law2003
State registrations
Registered as an investment adviser representative in 2 states (TX, UT).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2325486
- Firm CRD
- 6413