Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andre? Claim Your ProfileAndre Dubois is a financial advisor with over 25 years of experience in the industry. He is currently registered with LPL Financial LLC as a Registered Representative and Investment Adviser Representative. Andre has a strong track record of providing personalized financial advice to individuals, families, and businesses. He holds a variety of licenses and designations, including the Series 6, 7, 3, 63, and 65 exams, and has previously worked with companies including KMS Financial Services, Prudential Investment Management Services LLC, Wall Street Financial Group, Inc., Legg Mason Wood Walker, Incorporated, and AmeriPrime Financial Securities, Inc. Andre is committed to helping clients achieve their financial goals and is dedicated to providing them with the highest level of service.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
WA
02/01/2022 - Present
LPL Financial LLC (SELAH WA)
WA
01/17/2007 - 09/22/2014
KMS FINANCIAL SERVICES, INC. (SEATTLE WA)
NJ
11/01/2000 - 10/13/2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NY
10/15/1998 - 09/25/2000
WALL STREET FINANCIAL GROUP, INC. (VICTOR NY)
MD
02/29/2000 - 08/09/2000
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
TX
03/19/1997 - 10/16/1997
AMERIPRIME FINANCIAL SECURITIES, INC. (SOUTHLAKE TX)
TX
01/11/1994 - 10/04/1995
CAPSTONE ASSET PLANNING COMPANY (HOUSTON TX)
IA
Issued 08/17/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/23/1995
Series 3 - National Commodity Futures Examination
BC
Issued 12/21/1994
Series 7 - General Securities Representative Examination
BC
Issued 01/10/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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