Unclaimed Profile

Thomas U Dudley

DUDLEY CAPITAL MANAGEMENT LLC·MIDDLEBURG, Virginia

SIE, Series 1, Series 8, Series 24, Series 40, Series 63, Series 6519 years registeredDUDLEY CAPITAL MANAGEMENT LLC

115 THE PLAINS ROAD, MIDDLEBURG, VA 20117CRD# 72621Firm CRD# 282958

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas U Dudley · MIDDLEBURG, VA

Registration

CRD #72621 · DUDLEY CAPITAL MANAGEMENT LLC · 19 years registered

Brand Profile

Not yet started

Career History

DUDLEY CAPITAL MANAGEMENT LLC

Mar 2019 – present

MORGAN STANLEY

Jun 2009 – Feb 2017

LEESBURG, VA

CITIGROUP GLOBAL MARKETS INC.

Dec 2008 – Jun 2009

WASHINGTON, DC

DEUTSCHE BANK SECURITIES INC.

Jun 2007 – Dec 2008

WASHINGTON, DC

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 8

Series 24

Series 40

Series 63

Series 65

Registration record

First registered · June 18, 2007

Years registered · 19

Disclosure History

1998Customer Dispute·Award / Judgment

1998Regulatory·Final

1997Regulatory·Final

1996Customer Dispute·Settled

1992Customer Dispute·Settled

5 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

DUDLEY CAPITAL MANAGEMENT LLC

CRD 282958 · SEC 801-108148

AUM

$208M

Regulatory assets under management

Employees

291 client accounts

Services offered by DUDLEY CAPITAL MANAGEMENT LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at DUDLEY CAPITAL MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Thomas U Dudley offer?

Thomas U Dudley specializes in Financial Planning, Investment Management. Contact their office in MIDDLEBURG, Virginia for a consultation.

What are Thomas U Dudley's credentials?

Thomas U Dudley is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas U Dudley located?

Thomas U Dudley is based in MIDDLEBURG, Virginia, working with DUDLEY CAPITAL MANAGEMENT LLC. Their office serves clients in the MIDDLEBURG metropolitan area and surrounding communities.

How does Thomas U Dudley charge for services?

Thomas U Dudley's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DUDLEY CAPITAL MANAGEMENT LLC?

DUDLEY CAPITAL MANAGEMENT LLC has approximately 2 employees and manages $208M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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