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5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-12-15 |
| NM | RA | APPROVED | 2020-12-14 |
Branch Locations
332 Nuevo Hacienda Ln. Nw, Los Ranchos, NM 87107 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Albuquerque | NM | 06/2009 | 12/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 12/2020 |
| Waddell & Reed, Inc. | Los Ranchos | NM | 12/2020 | 12/2020 |
| Various Insurance Carriers For W&R Insurance Agencies | Los Ranchos | NM | 12/2020 | 12/2020 |
| Bigtime Living Llc | Los Ranchos | NM | 05/2007 | Present |
| Prospera Financial Services Inc. | Dallas | TX | 12/2020 | Present |
05/2007-PRESENT; BIGTIME LIVING LLC; LOS RANCHOS, NM; NOT INVESTMENT RELATED; LLC; PARTNER; SPENDING 1-9% OF HIS WEEKLY TIME NONE DURING SECURITY TRADING HOURS. 12/2020-PRESENT; VARIOUS INSURANCE CARRIERS FOR W&R INSURANCE AGENCIES; LOS RANCHOS, NM; INVESTMENT RELATED; INSURANCE SALES; INSURANCE AGENT. Mr. Duboise is a Partner of Southwest Wealth Management, Located at 48000 N Staton #158 El Paso, TX 79902. This business is not investment related spending 1-9% of this his weekly time may be during market hours. No compensation at this time.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 2002-07-12 |
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