Mitchel R. Dukov
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mitchel Richard Dukov was a registered financial professional .
Mitchel is a previously registered financial professional and started their career in finance in 1976. Mitchel had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 1996 - November 22, 1999
FINANCIAL AMERICA SECURITIES, INC.
January 3, 1992 - January 9, 1995
F.J. GARBER & CO.
October 7, 1986 - December 31, 1991
DICKINSON & CO.
October 28, 1985 - November 10, 1986
SAWO SECURITIES,INC.
June 11, 1984 - September 24, 1984
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 13, 1980 - June 1, 1982
FSC SECURITIES CORPORATION
August 23, 1976 - May 9, 1980
PATRICK PROGRAMS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/7/1976
Registered Representative ExaminationCurrent Firm
FINANCIAL AMERICA SECURITIES, INC.
CRD#: 5100 / SEC#: , 8-15719
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
