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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Andrew Dubay is a financial advisor with over 25 years of experience in the industry. Brett joined Principal Asset Management in 2018 after previous roles with Fidelity Investments Institutional Services Company, Inc. and Walnut Street Securities, Inc. Brett holds a variety of licenses including Series 7, 6, 63, 65 and 24. Brett specializes in providing investment advice and services to individuals, corporations, and other institutions. Brett holds a Series 24 General Securities Principal license and is registered with FINRA and in the state of Kansas. Brett also holds the Series 6, 7 and 63 licenses. Brett is currently registered with Principal Asset Management, and is registered in 14 states for both Broker-dealer and Investment Advisor, including Arkansas, Colorado, Iowa, Kansas, Louisiana, Minnesota, Missouri, Nebraska, New Mexico, North Dakota, Oklahoma, South Dakota, Texas and Kansas. Brett specializes in Asset Allocation, Investment Strategies, Mutual Funds, and Retirement Planning.
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.
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.
Strategic management for diversified investment portfolios.
Spread lending management and advice; asset allocation services; providing model portfolios
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Charge on a cost allocation basis to principal life
1
2
KS
11/07/2018 - Present
Principal Asset Management (Mission Hills KS)
RI
02/23/1998 - 06/08/2006
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
CA
03/07/1995 - 02/11/1998
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
IA
Issued 07/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2000
Series 7 - General Securities Representative Examination
BC
Issued 03/06/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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