Advisor at Dukes Financial Group, LLC
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Dukes Financial Group, LLC
Location
Charlotte, NC
Credentials
Series 63, Series 65
Industry experience
22 years
Timothy Dukes is the sole advisor at Dukes Financial Group, LLC in Charlotte, NC, holding Series 63 and Series 65 licenses with 22 years of industry experience. He has worked with various insurance carriers since 2003 and has led Dukes Financial Group since 2009. Dukes Financial Group provides investment supervisory services and financial planning primarily to individual and high-net-worth clients, using a long-term, asset-class driven approach with a focus on non-discretionary management and in-house asset oversight. The firm prepares individualized Investment Policy Statements and offers fixed-fee financial planning, managing approximately 20 client relationships.
$0 - $300,000: 1.30% $300,000 - $1,000,000: 1.05% $1,000,000+: 0.55%
Account minimum: $100,000 Fee-only: Financial planning fees between $100 and $10,000, fixed fees
Charlotte, NC
North Carolina
Dukes Financial Group, LLC (152512)
2009 - Present (17 years)
Various Insurance Carriers
2003 - Present (23 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 65
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