Tony DuBose

Credentials: AIF®

1250 South Pine Island Road Suite 350
Plantation, Florida, 33324
Telephone: 954.474.7100
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Registry Member Since 2004

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. Securities and Advisory Services offered through LPL Financial A Registered Investment Advisor * Member FINRA/SIPC www.sipc.org www.finra.org

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. How is your RIA registered?
  • SEC
3. What type of practice do you have?
  • Member of a Firm
4. What is your relationship to your RIA?
  • Independent Contractor
5. What are your years of financial services experience?
  • 18 Years
6. Do you have one or more degrees from an accredited college or university?
School
Degree
Valdosta State University
BA
7. Are you a current member of one or more financial service industry associations?
  • FPA
8. What are your license and registration numbers?
9. What are your current registrations and licenses?
  • Series 6
  • Series 7
  • Series 24
  • Series 63
  • Other

Details for Other: Series 51

10. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
  • Yes
11. In what states are you licensed or registered to sell investment services and products for fees or commissions?
  • Arizona
  • California
  • Colorado
  • Connecticut
  • Florida
  • Georgia
  • Illinois
  • Indiana
  • Kentucky
  • Louisiana
  • Maryland
  • Massachusetts
  • Missouri
  • Nevada
  • New Jersey
  • New York
  • North Carolina
  • Ohio
  • Oklahoma
  • Texas
  • Virginia
12. In what states are you licensed to sell insurance products for commissions?
  • Did Not Answer
13. In the past five years, do you have any disclosures on your investment or insurance compliance records?
  • Investment Disclosures: No
  • Insurance Disclosures: No
14. Since you became an adult, do you have any criminal disclosures (misdemeanors/felonies)?
  • No
15. My ADV Part II is:
  • Available Upon Request
16. Do you have any additional disclosures?
  • Securities and Advisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC. The information and opinions posted on this website do not necessarily reflect the opinion of LPL Financial or its affiliates.
  • 17. What are your methods of compensation?
    • Did Not Answer
    18. Will you work with clients over the telephone and Internet?
    • Did Not Answer
    19. 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)
    20. Will you meet with prospective clients at their locations?
    • Yes
    21. Do you make investment decisions for your clients without their approval in advance?
    • Did Not Answer
    22. Scope of Business: What is your current number of clients (not accounts)?
    • None
    23. Scope of Business: What are your current assets under management or advisement? (Compensation is fees)
    • None
    24. Do you have a minimum fee requirement?
    • $500
    25. Do you have a minimum asset requirement?
    • $1,000,000
    26. Do you speak any additional languages fluently?
    • None
    27. Do you provide any limited engagement services?
    • Retirement Plan Services
    28. Which categories of financial services do you provide for fees? Another professional (CPA, estate attorney) may provide one or more of these services.
    • Planning
    • Investment
    29. Do you sell investment or insurance products for commissions?
    • No
    30. What types of clients do you work with?
    • Individuals
    • Retirees
    • Foundations
    • Public Funds
    • Taft-Hartley Funds
    • Businesses
    31. Which custodian(s) take physical possession of your clients' assets? If applicable, name the top three in order of importance
    • LPL Financial
    • Pershing
    • SEI

    Certification

    I certify all of the information in my professional profile is accurate and up-to-date.
    Advisor Name: Tony DuBose
    Most Recent Update: Apr 2, 2014