Anthony Dubose

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2006 → 03/2017
  Suntrust Investment Services, Inc.
  Tampa, FL
• 08/2016 → 03/2017
  Suntrust Advisory Services
  Atlanta, GA
• 03/2017 → 11/2018
  Signator Investors Inc.
  St. Petersburg, FL
• 11/2018 → 12/2018
  Royal Alliance Associates, Inc.
  St. Petersburg, FL
• 12/2018 → 05/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 05/2022 → Present
  Ubs Financial Services
  Chicago, IL

Previous Registrations

• 2018-12-24 → 2022-05-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 2018-11-02 → 2018-12-10
  Osaic Wealth, Inc.
  Scottsdale, AZ
  St. Petersburg, FL
• 2017-03-13 → 2018-11-02
  Signator Investors, Inc.
  St. Petersburg, FL
  Chicago, IL
• 2016-08-31 → 2017-03-09
  Truist Advisory Services, Inc.
  Tampa, FL
  Dunedin, FL
• 2007-04-03 → 2016-12-31
  Truist Investment Services, Inc.
  Dunedin, FL
  Tampa, FL
  Tampa, FL

Other Businesses

I*128875 For profit or not for profit: For-Profit Organization Name of outside business organization: Condo Association Investment related: N Address of business: Chicago, Illinois 60657 Nature of business: Corporation, Position, title, association: Other, Secretary Start date of relationship: 1/1/2020 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: My role will be the Condo Association secretary. Responsibilities include taking meeting notes and sending communications among the 3 units.

Exams

• S66 Uniform Combined State Law Examination
  2007-03-30
• S63 Uniform Securities Agent State Law Examination
  2004-07-01

Designations

• Certified Financial Planner

Other Names

• Tony B Dubose
• A Ben Dubose
• Anthony B Dubose
• Anthony Benjamin Dubose