Derek L. Dubois

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CRD#: 1466904

Professional summary

Derek Lee Dubois was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Derek is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Derek had worked at 7 firms, which includes MOORS & CABOT INC., INTERFIRST CAPITAL CORPORATION, TAMARON INVESTMENTS INC., J. W. GANT & ASSOCIATES INC., PACIFIC SOUTHERN SECURITIES INC., MICHELIN AND COMPANY INC., THE STUART-JAMES COMPANY INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 4, 1995 - August 19, 2003

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

Past

October 7, 1994 - October 2, 1995

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

Past

June 26, 1992 - October 7, 1994

TAMARON INVESTMENTS, INC.

CRD#: 14929

ENGLEWOOD, CO

Past

May 5, 1992 - June 27, 1992

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

March 17, 1992 - April 22, 1992

PACIFIC SOUTHERN SECURITIES, INC.

CRD#: 13155

Past

January 2, 1987 - March 19, 1992

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

September 29, 1986 - January 2, 1987

MICHELIN AND COMPANY, INC.

CRD#: 14447

Past

March 19, 1986 - October 10, 1986

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/12/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/9/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 12/11/1989

General Securities Principal Examination

Current Firm

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Federal Street 19th Floor, Boston, MA 02110

Mailing Address

One Federal Street 19th Floor, Boston, MA 02110

Phone number

(617) 426-0500

Established

Massachusetts since 07/05/1978

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

121

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MOORS & CABOT ADV (9/29/2025)

Direct owners and executive officers

Name	Position	CRD#
EIGHTEEN NINETY PARTNERS, LLC	SHAREHOLDER
BRAUN, MICHAEL CHARLES	EVP/COO/DIRECTOR	2005370
CUETARA, JOSEPH PHILIP	SVP FIXED INCOME/MUNICIPAL PRINCIPAL	58308
GARRETT, MARK DAVID	DIRECTOR/CO-CHAIRMAN/TRUSTEE	5563014
HILDRETH, MICHAEL CHRISTOPHER	EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR	2386839
JOYCE, DANIEL MICHAEL	DIRECTOR	1060819
KELLIHER, KATHERINE ROSE	SVP & CHIEF COMPLIANCE OFFICER	4146307

Regulatory assets under management

Total Number of Accounts	5,074
AUM (Assets Under Management)	$ 3,437,764,388

Disclosures

Regulatory Event	30
Arbitration	3
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2025	Cover Page	Report
12/04/2023	Cover Page	Report
01/12/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Derek L. Dubois

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTERFIRST CAPITAL CORPORATION

TAMARON INVESTMENTS, INC.

J. W. GANT & ASSOCIATES, INC.

PACIFIC SOUTHERN SECURITIES, INC.

J. W. GANT & ASSOCIATES, INC.

MICHELIN AND COMPANY, INC.

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

MOORS & CABOT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/1996

Series 63

Date: 7/9/1986

Series 7

Date: 3/15/1986

Series 8

Date: 3/9/1999

Series 24

Date: 12/11/1989

Current Firm

MOORS & CABOT, INC.

Contact information

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MOORS & CABOT, INC.

TRUST BUT VERIFY

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