Joseph S. Duke

DUKE FINANCIAL SERVICES

Hamilton, OH

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CRD#: 2254509

Professional summary

Joseph Stanley Duke, who also goes by Joseph Duke, is a registered financial advisor currently at DUKE FINANCIAL SERVICES located in Hamilton, Ohio.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Joseph has worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Duke

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Stanley Duke'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

November 14, 2006 - Present

DUKE FINANCIAL SERVICES

RIA

CRD#: 133024

Hamilton, OH

Past

May 21, 2002 - December 31, 2004

SICOR SECURITIES INC

RIA

CRD#: 16195

HAMILTON, OH

Past

September 8, 1997 - December 31, 2004

SICOR SECURITIES INC

CRD#: 16195

DAYTON, OH

Past

April 30, 1993 - September 8, 1997

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

July 15, 1992 - April 26, 1993

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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.

Highlighted states indicate IAR registrations

IAR

Ohio
(11/14/2006)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/9/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/14/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/21/1993

General Securities Principal Examination

Current Firm

DUKE FINANCIAL SERVICES

DUKE FINANCIAL SERVICES | JOSEPH S. DUKE

CRD#: 133024 / SEC#:

Ohio

Registered Investment Advisory firm - (11/4/2004 Approved)

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Contact information

Main Address

Hamilton, OH

Mailing Address

Phone number

(513) 894-6300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	66
AUM (Assets Under Management)	$ 11,792,380

Red Flags

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

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Joseph S. Duke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Stanley Duke's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUKE FINANCIAL SERVICES

SICOR SECURITIES INC

SICOR SECURITIES INC

MARINER FINANCIAL SERVICES, INC.

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2003

Series 63

Date: 7/16/1992

Series 7

Date: 7/14/1992

Series 24

Date: 6/21/1993

Current Firm

DUKE FINANCIAL SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DUKE FINANCIAL SERVICES

TRUST BUT VERIFY

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