Branch offices
0 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
FINRA BrokerCheck SEC IAPD verified CRD# 13034 Grade A
Dukes & Dukes Securities Corporation — FINRA BrokerCheck Disciplinary Record
Corporation. 0 branch offices, 0 BrokerCheck disclosures.
Dukes & Dukes Securities Corporation registration status — INACTIVE
The verdict
Dukes & Dukes Securities Corporation has a clean FINRA BrokerCheck record — no reportable disclosures across its 0 branch offices, earning a Grade A.
- Grade A
- Clean record
- 0
- branch offices (single-office firm)
- 0
- BrokerCheck disclosures
- 0
- regulatory actions
PlainAdvisorCheck rating 5/5 — an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
— per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 0 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 0 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure Profile
Dukes & Dukes Securities Corporation's disclosure record, broken down by category and footprint.
Disclosures per office
—
Clean record
Regulatory share
0%
of total disclosures
Size class
Single-office firm
0 branches
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 02/04/1983
- State of Formation
- Tennessee
- CRD Number
- 13034
- SEC Number
- 29276
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Dukes & Dukes Securities Corporation
Dukes & Dukes Securities Corporation (Corporation, CRD# 13034 · SEC# 29276) operates 0 branch offices — a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 0 disclosures: 0 regulatory, 0 arbitration, 0 civil. Letter grade A (5/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of A mean for Dukes & Dukes Securities Corporation?
A grade of A means Dukes & Dukes Securities Corporation has a clean record — no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Dukes & Dukes Securities Corporation have?
Dukes & Dukes Securities Corporation has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Dukes & Dukes Securities Corporation?
Dukes & Dukes Securities Corporation operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Dukes & Dukes Securities Corporation's disciplinary record?
You can verify Dukes & Dukes Securities Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13034. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
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Read our methodology — how this data is sourced, computed, and verified.
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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial