Daniel Arthur Dubois

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 09/2011 → Present
  Lpl Financial, Llc
  Franklin, TN

Previous Registrations

• 2010-09-13 → 2011-10-06
  Valic Financial Advisors, Inc.
  Brentwood, TN
• 2008-09-03 → 2009-02-11
  U.S. Bancorp Investments, Inc.
  Columbia, TN
  Spring Hill, TN
  Columbia, TN
  College Grove, TN
  Franklin, TN
  Franklin, TN
  Franklin, TN
  Nashville, TN
  Brentwood, TN
• 2003-07-10 → 2005-08-08
  Amsouth Investment Management Company Llc
  Birmingham, AL
• 2003-01-06 → 2003-10-09
  Amsouth Investment Services, Inc.
  Nashville, TN

Other Businesses

1. 09/20/2011: TERRA NOVA MUSIC, LLC - 1% OF TIME SPENT - RECORDING STUDIO AND CATALOGUE. RECEIVES ANNUAL ROYALTIES ON RECORDED MUSIC. 2. 05/22/2012 - NO BUSINESS NAME - INV REL - 1453 GOVERNORS RIDGE CT, FRANKLIN, TN 37064-8933 - NON-VARIABLE INSURANCE - 1% OF TIME SPENT - TO TRANSACT BUSINESS WITH BANKERS LIFE LOCATED IN ST. PETERSBURG, FL. THE BUSINESS IS FIXED ANNUITIES ONLY. 3. 02/04/2014: NO BUSINESS NAME - INV REL - NON-VARIABLE INSURANCE - 1453 GOVERNORS RIDGE CT, FRANKLIN, TN 37064-8933 - NON-VARIABLE INSURANCE - 2% OF TIME SPENT - LIFE INSURANCE 4. 02/10/2014: DANIEL DUBOIS - TAX PREP / ACCOUNTING / BOOKKEEPING - 2% OF TIME SPENT - TAX PREPARATION TO INDIVIDUALS AS AN ADDITIONAL SERVICE. 5. 10/02/2015 * Non-Variable Insurance Trails Only * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 09/10/2015 * 1 HR/MO NOT DURING SECS TRDG HRS.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-06-03
• S63 Uniform Securities Agent State Law Examination
  1995-12-19