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PALADIN RESEARCH REPORT FOR:

Tony DuBose

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Telephone Advisor
954.474.7100 ext. 101

I. Snapshot

A. Registry Member
  • Since 2004
B. Years of Experience
  • 21
C. College Degrees
  • Valdosta State University - BA
D. Certifications
  • AIF®
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business Philosophy

    To have a positive impact on the lives of our clients and their families by delivering personalized planning strategies and ongoing service tailored to their expectations. To be a professional value added advocate for our clients through inter-generational Wealth Management. During this process, we strive to meet and exceed our client’s expectations.

G. Asset Requirement
  • $1,000,000

II. Contact Information

A. Key Contact
  • Tony DuBose
B. Main Location
  • 1250 South Pine Island Road Suite 350
    Plantation, Florida, 33324
C. Telephone
  • 954.474.7100 ext. 101

III. Internet

A. Visit Website
B. Social Connections

IV. Firm(s)

A. Name of Firm
  • Legacy Wealth Management
B. Relationship to Firm
  • Owner
C. Name of RIA
  • LWM Advisory Services, LLC
D. Name of Broker/Dealer
  • LPL Financial
E. Name(s) of Custodian(s)
  • LPL Financial
  • Pershing
  • SEI
F. Comments
  • Indirect owner as noted in ADV

V. Credentials

A. Years of Financial Experience
  • 21 Years
B. College, Degrees, Years
  • Valdosta State University - BA
C. Current Certifications
D. Financial Industry Associations (Active Memberships)
  • Financial Planning Association
  • Center for Fiduciary Studies-FI360
  • Florida Top Advisor Council
E. Firm Credentials
  • Number of professionals 6
  • Average years of experience 116
  • Combined degrees 6
  • Combined certifications 7

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • RIA and IAR
B. Type of RIA Registration
  • SEC
C. Industry Licenses
  • Securities License(s)
  • Insurance License(s)
D. Registration & License Numbers
  • CRD: 2600996
  • IARD: 172009
  • Insurance: A072557
E. State Licences
  • Financial Advice, Services for Fees: See List
  • Investment Products for Commission: See List
  • Insurance Products for Commission: See List
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • Securities Offered Through LPL Financial, Member FINRA/SIPC, www.sipc.org Investment Advice Offered Through LWM Advisory Services, LLC, A Registered Investment Advisor. Legacy Wealth Management and LWM... View More
    Securities Offered Through LPL Financial, Member FINRA/SIPC, www.sipc.org Investment Advice Offered Through LWM Advisory Services, LLC, A Registered Investment Advisor. Legacy Wealth Management and LWM Advisory Services, LLC Are Separate Entities from LPL Financial. The information and opinions posted on this website do not necessarily reflect the opinion of LPL Financial or its affiliates.
J. View our ADV(s)
  • Available Upon Request
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read Business Philosophy

    To have a positive impact on the lives of our clients and their families by delivering personalized planning strategies and ongoing service tailored to their expectations. To be a professional value added advocate for our clients through inter-generational Wealth Management. During this process, we strive to meet and exceed our client’s expectations.

B. Minimum Asset Requirement
  • $1,000,000
C. Number of Current Clients
  • Available Upon Request
D. Assets (Management, Advisement)
  • Available Upon Request
E. Methods of Compensation
  • Hourly Fee
  • Fixed Fee
  • Asset-Based Fee
  • Commissions (Investment Products)
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Video-Voice
G. Types of Reports (Frequency)
  • Performance (Annually)
  • Brokerage Statement (Monthly)
  • Market Environment (Bi-Monthly)
  • Newsletters (Bi-Monthly)
H. Second Language(s)
  • No
I. Value Statement
  • Not Available

VIII. Clients & Services

A. Types of Clients
  • Business Pension Plans
  • Endowments & Foundations
  • Taft-Hartley Pension Plans
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
  • Insurance Products
  • Investment Products (Commission)
C. Discretionary Asset Management
  • Discretionary and Non-Discretionary
D. Limited Engagement Services
  • Planning Only
  • Financial Plan Reviews
  • Investment Portfolio Reviews
  • Retirement Plan Services

IX. Certification

Advisor Name
  • Tony DuBose
Most Recent Update:
  • May 18, 2016

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