RD
ChFC
RD
ChFC
Ronald Dukes
50 Years of Experience
Norfolk, VA
4 DisclosuresSells Insurance
Ronald Dukes is a ChFC-designated registered investment advisor at Haas Investment Management LLC, based in Norfolk, VA, with 50 years of industry experience. Ronald operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Insurance Planning, and 2 more.
Compensation
Fixed/Hourly
Firm Size
2 advisors
IM Fee
Planning only
Fee Structure
- Comprehensive financial plan - Negotiable fixed fee up to $2,500, depending on complexity and client needs. This includes a review of wills, estate plans/trusts, investments, taxes, and insurance.
- Hourly financial planning - $200 per hour, depending on complexity and client needs. Clients will receive recommendations in writing.
One-Time Plan:Up to $2,500
Hourly Rate:$200/hr
Loading...
Location
Norfolk, VA
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2009Denied
Customer Dispute
December 2006Denied
Customer Dispute
August 1999Settled
Customer Dispute
March 1998Award / Judgment
Other Business ActivitiesSells Insurance
Ronald is an independent insurance agent and partner with Dukes Financial, LLC, providing insurance sales and services. He spends nearly all of his time on this practice.
Employment History
Current Registrations
Haas Investment Management LLC
November 2010 - Present · 15 yrs 6 mos
Previous Registrations
Vsr Advisory Services
October 2008 - December 2009 · 1 yr 2 mos
Vsr Financial Services, INC.Broker
October 2008 - December 2009 · 1 yr 2 mos
Vsr Advisory Services
October 2008 - October 2008 · 0 mos
Royal Alliance Associates, INC.
August 2003 - October 2008 · 5 yrs 2 mos
Dukes & CO Advisory, INC.
July 1997 - July 2003 · 6 yrs
Royal Alliance Associates, INC.Broker
May 1997 - October 2008 · 11 yrs 5 mos
Davenport-Dukes Financial Services, INC.Broker
March 1995 - May 1997 · 2 yrs 2 mos
Royal Alliance Associates, INC.Broker
November 1989 - March 1995 · 5 yrs 4 mos
Integrated Resources Equity CorporationBroker
July 1987 - November 1989 · 2 yrs 4 mos
Ssv Securities, INC.Broker
October 1986 - August 1987 · 10 mos
Fsc Securities CorporationBroker
December 1981 - November 1986 · 4 yrs 11 mos
Connecticut Mutual Life Insurance CompanyBroker
March 1977 - August 1979 · 2 yrs 5 mos
Cornerstone Financial Services, INC.Broker
June 1975 - May 1977 · 1 yr 11 mos
Travelers Equities Sales, INC.Broker
November 1974 - May 1975 · 6 mos
Cg Equity Sales CompanyBroker
July 1974 - August 1977 · 3 yrs 1 mo
A. G. Edwards & Sons, INC.Broker
June 1973 - May 1974 · 11 mos
Weis Securities, INC.Broker
November 1972 - May 1973 · 6 mos
F. S. Moseley & CO.Broker
September 1972 - December 1972 · 3 mos
Blyth Eastman Dillon & CO. IncorporatedBroker
November 1971 - November 1972 · 1 yr
State Registrations1 state
VA
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.