Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthony? Claim Your ProfileAnthony Dubose is a financial advisor with over 17 years of experience in the financial services industry. Anthony is currently registered with UBS Financial Services Inc., located in Chicago, Illinois. Anthony has held previous roles with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Royal Alliance Associates, Inc., Signator Investors, Inc., SunTrust Investment Services, Inc., Sun Life Financial Distributors, Inc., and Banc of America Investment Services, Inc. Anthony holds the Series 6, 7, 24, 52TO, 63 and 66 securities licenses. Anthony is a Certified Financial Planner (CFP) and has a strong background in providing financial planning, portfolio management, and investment advisory services to individuals, businesses, and institutions.
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.
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.
See schedule d - miscellaneous
1
2
IL
05/20/2022 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
12/24/2018 - 05/24/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHICAGO IL)
FL
11/02/2018 - 12/10/2018
ROYAL ALLIANCE ASSOCIATES, INC. (ST. PETERSBURG FL)
FL
03/07/2017 - 11/02/2018
SIGNATOR INVESTORS, INC. (ST. PETERSBURG FL)
FL
08/16/2006 - 03/09/2017
SUNTRUST INVESTMENT SERVICES, INC. (TAMPA FL)
MA
05/10/2005 - 07/31/2006
SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
MA
10/20/2004 - 03/04/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
07/02/2004 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
BOTH
Issued 3/30/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 7/1/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 9/28/2009
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2006
Series 7 - General Securities Representative Examination
BC
Issued 7/1/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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