Thomas W Dubois

Current Employers

Dubois Capital Management Llc

Saratoga Springs, NY • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-07-25

NY RA
APPROVED

Since 2023-07-25

Branch Locations

Saratoga Springs, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Dubois Capital Management Llc	Saratoga Springs	NY	07/2023	Present
Daloopa	New York	NY	04/2023	Present
Exabel	New York	NY	05/2022	03/2023
Sentio	New York	NY	11/2018	05/2022
Logistics Brokerage	Chicago	IL	10/2017	11/2018
Full Time Student	Oxford	OH	07/2013	10/2017

07/2023 → Present

Dubois Capital Management Llc

Saratoga Springs, NY
04/2023 → Present

Daloopa

New York, NY
05/2022 → 03/2023

Exabel

New York, NY
11/2018 → 05/2022

Sentio

New York, NY
10/2017 → 11/2018

Logistics Brokerage

Chicago, IL
07/2013 → 10/2017

Full Time Student

Oxford, OH

Other Businesses

Daloopa; Not investment related; Enterprise Account Executive; Software; 04/2023; New York, New York; 160 hours per month; 100 during securities trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-03-13

S65 Uniform Investment Adviser Law Examination

2023-03-13