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DD

Douglas R. Dubiel

KELSON ASSET MANAGEMENT LLC
HOBE SOUND, FL
Some features on this profile are disabled
CRD#: 2158031
DD

Professional summary

Douglas Robert Dubiel is a registered financial advisor currently at KELSON ASSET MANAGEMENT LLC located in Hobe Sound, Florida and CURTIS POINT CAPITAL located in Weston, Massachusetts.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Douglas has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Douglas Robert Dubiel's CRS (Customer Relationship Summary).

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

Current

May 1, 2023 - Present

KELSON ASSET MANAGEMENT LLC

RIA
CRD#: 315511
HOBE SOUND, FL
Current

May 10, 2022 - Present

CURTIS POINT CAPITAL

Office #1: 6 Driftwood Lane, Weston, MA 02493
BD
CRD#: 307399
Weston, MA
Past

April 16, 2019 - March 16, 2021

ROCKEFELLER FINANCIAL LLC

RIA
CRD#: 291361
North Palm Beach, FL
Past

December 19, 2018 - March 16, 2021

ROCKEFELLER FINANCIAL LLC

BD
CRD#: 291361
NEW YORK, NY
Past

February 13, 2004 - February 25, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ROCKLAND, MA
Past

October 31, 1991 - February 25, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ROCKLAND, MA

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".
KA
KELSON ASSET MANAGEMENT LLC
KELSON ASSET MANAGEMENT LLC

CRD#: 315511 / SEC#: 801-122346

RIA
Registered Investment Advisory firm - (9/17/2021 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(8/19/2022)
IAR
Florida
(5/1/2023)
RR
Massachusetts
(5/17/2022)
IAR
New York
(7/21/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/15/2019
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/3/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/11/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/22/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/20/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/29/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/20/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/23/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

KA
KELSON ASSET MANAGEMENT LLC
KELSON ASSET MANAGEMENT LLC

CRD#: 315511 / SEC#: 801-122346

RIA
Registered Investment Advisory firm - (9/17/2021 Approved)
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Contact information

Main Address
Stamford, CT
Mailing Address
Phone number
(917) 691-8007
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

KELSON ASSET MANAGEMENT LLC ADV DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts21
AUM (Assets Under Management)$ 226,532,365

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/29/2024
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Company Information

KELSON ASSET MANAGEMENT LLC

CRD#: 315511Hobe Sound, FL

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