Tony DuBose

1. What are your firm names?

• Registered Investment Advisor

  LPL Financial

• Broker Dealer

  LPL Financial

• Doing Business As

  Legacy Wealth Management / Legacy Retirement Plan Advisors

2. What is your type of RIA registration?

• SEC

3. Are you a sole practitioner or a member of a firm or team?

• Member of a Firm

4. What is your relationship to your Registered Investment Advisor?

• Independent Contractor

5. What are your years of applicable financial service experience?

• 18 Years

6. Do you have any college degree(s)?

7. Do you belong to any industry associations?

• FPA

8. What is your CRD or IARD number?

• 2600996

9. Do you hold any active securities licenses?

• Series 7
• Series 24
• Series 63

10. Which categories of financial services do you provide?

• Financial Planning Advice & Services
• Investment Advice & Services
• Insurance Advice & Services

11. Which planning services do you provide?

• Financial Plans
• Retirement Plans
• Estate Plans
• Charitable Plans

12. Which investment advisory services do you provide?

• Investment Strategy & Policy
• Risk Management
• Rebalancing
• Money Manager Selection
• Performance Reports
• Other
• Asset Allocation
• Tax Efficient Investing

13. If you make investment decisions for clients, how do you invest their assets?

• Securities in Separate Accounts
• Mutual Funds
• Exchange Traded Funds
• Hedge Funds
• Money Market Funds
• Private Placements
• CDs

14. How many clients (not accounts) do you currently service?

• Available Upon Request

15. What amount of client assets is currently under your management or advisement?

• Available Upon Request

16. What is your minimum fee for your planning services?

• $500

17. What is your minimum fee for your investment services?

• Did Not Provide

18. What is your minimum asset requirement for your investment services?

• $1,000,000

19. What is your minimum net worth requirement for your planning services?

• $1,000,000

20. What type of compensation do you receive for your planning services?

• Fixed Fees
• Hourly Fees

21. What type of compensation do you receive for your investment advisory services?

• Asset Based Fees

22. Do you work with remote clients over the Internet and telephone?

• Yes

23. Do you hold any active insurance licenses?

• Life
• Fixed Annuity
• Variable Annuity
• Disability

24. Are you a Registered Investment Advisor or an Investment Advisor Representative?

• Yes

25. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?

• Yes

26. What states are covered by your registration(s) to sell investment advisory services?

• Arizona
• California
• Colorado
• Connecticut
• Florida
• Georgia
• Illinois
• Indiana
• Kentucky
• Louisiana
• Massachusetts
• Missouri
• Nevada
• New Jersey
• New York
• North Carolina
• Ohio
• Oklahoma
• Texas
• Virginia

27. What states are covered by your registration(s) to sell investment and brokerage products?

28. What states are covered by your registration(s) to sell insurance products?

29. Do you have any compliance disclosures for the past 5 years?

• Investment Disclosures: No
• Insurance Disclosures: No

30. Do you have any criminal disclosures since you became an adult?

• Misdemeanors: No
• Felonies: No

31. How do investors view your ADV Part II?

• Available Upon Request

32. Additional Disclosure Statements or Comments

• Securities and Advisory Services offered through LPL Financial A Registered Investment Advisor * Member FINRA/SIPC

33. What languages do you speak fluently?

• Did Not Provide

34. What is your primary role?

• Investment Advisor

35. Which investment products do you sell?

• None (I do not sell investment products)

36. Which insurance products do you sell?

• Life
• Fixed Annuities
• Variable Annuities
• Long Term Care
• Disability Income
• Business

37. Do you provide tax advice and services?

• No

38. Do you provide legal advice and services?

• No

39. Do you provide any limited engagement services?

• Planning Only (No investment services)
• Financial Plan Reviews
• Investment Portfolio Reviews
• Other

40. What types of clients do you work with?

• High Net Worth Individuals
• Ultra High Net Individuals
• Companies (Pension)
• Foundations
• Public Funds
• Taft-Hartley Funds
• Companies (Non-Pension)

41. Where does your first meeting with a prospective client take place?

• My Location

42. Which companies act as custodians for your clients assets?

• LPL Financial
• Pershing
• SEI

43. What types of reports do you provide your clients and what is the frequency?

• Performance (Quarterly)
• Brokerage Statement (Monthly)
• Market Environment (Bi-Monthly)
• Newsletters (Bi-Monthly)
• Other (Not Applicable)

44. General Comments:

Did Not Provide

Certification