Scott S. Duko

SCOTT S. DUKO, REGISTERED INVESTMENT ADVISOR, LTD.

Canfield, OH 44406

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CRD#: 1801279

Professional summary

Scott Stephen Duko is a registered financial advisor currently at SCOTT S. DUKO, REGISTERED INVESTMENT ADVISOR, LTD. located in Canfield, Ohio and FORTUNE FINANCIAL SERVICES, INC. located in Canfield, Ohio.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Scott has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

REP IS AN INDEPENDENT INSURANCE AGENT SELLING FIXED ANNUITIES, LIFE, EQUITY INDEXED PRODUCTS - 1099 INCOME - 8 HRS/MO, 4 HRS DURING TRADING HRS. ATTORNEY: SCOTT S. DUKO, ATTORNEY AT LAW, LTD--160 HRS/MONTH, 32 HRS/MONTH DURING TRADING HOURS. RIA - SCOTT DUKO, REGISTERED INVESTMENT ADVISORS, LTD. 76 HRS/MO, 76 HRS DURING TRADING HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Stephen Duko's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 14, 2007 - Present

SCOTT S. DUKO, REGISTERED INVESTMENT ADVISOR, LTD.

Office #1: 3685 Stutz Drive Suite 100, Canfield, OH 44406

RIA

CRD#: 109595

Canfield, OH

Current

August 1, 2006 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 3685 Stutz Drive Suite 100, Canfield, OH 44406

CRD#: 42150

Canfield, OH

Past

February 5, 2001 - July 31, 2006

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

NORTH LIMA, OH

Past

April 8, 1997 - July 31, 2006

FSC SECURITIES CORPORATION

CRD#: 7461

NORTH LIMA, OH

Past

January 1, 1996 - March 27, 1997

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

April 11, 1991 - January 1, 1996

ANDOVER SECURITIES, INC.

CRD#: 16903

KANSAS CITY, MO

Past

March 22, 1988 - August 6, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Ohio
(8/1/2006)

IAR

Ohio
(9/14/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/28/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SCOTT S. DUKO, REGISTERED INVESTMENT ADVISOR, LTD.

DUKO FINANCIAL SERVICES | SCOTT S. DUKO, REGISTERED INVESTMENT ADVISOR, LTD. | SCOTT S. DUKO, ATTORNEY AT LAW, LTD | DUKO SCOTT STEPHEN

CRD#: 109595 / SEC#:

Ohio

Registered Investment Advisory firm - (1/5/2000 Approved)

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Contact information

Main Address

3685 Stutz Drive Suite 100, Canfield, OH 44406

Mailing Address

Phone number

(330) 550-5428

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	95
AUM (Assets Under Management)	$ 56,280,084

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Scott S. Duko

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Stephen Duko's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

ANDOVER SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2002

Series 63

Date: 1/28/1999

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1988

FINRA

Current Firm

SCOTT S. DUKO, REGISTERED INVESTMENT ADVISOR, LTD.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SCOTT S. DUKO, REGISTERED INVESTMENT ADVISOR, LTD.

TRUST BUT VERIFY

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