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RD

Robert T. Dubuque

IASG ALTERNATIVES
KENMORE, WA 98028
Some features on this profile are disabled
CRD#: 2445030
RD

Professional summary

Robert Thurner Dubuque, who also goes by Robert Dubuque, is a registered financial professional currently at IASG ALTERNATIVES, LLC located in Kenmore, Washington.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2017. Robert has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 3 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Dubuque

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) - BD

Click below to view Robert Thurner Dubuque's CRS (Customer Relationship Summary).
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

August 2, 2017 - Present

IASG ALTERNATIVES, LLC

Office #1: 8817 Ne 161st Pl. , Kenmore, WA 98028
BD
CRD#: 175478
KENMORE, WA

State Registrations and Notice Filings

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

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
California
(1/16/2018)
RR
Louisiana
(1/30/2023)
RR
Oregon
(8/19/2020)
RR
Texas
(6/2/2023)
RR
Washington
(8/9/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/5/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 1/7/1994
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 30
Date: 11/8/2013
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

IA
IASG ALTERNATIVES, LLC
IASG ALTERNATIVES | IASG ALTERNATIVES, LLC

CRD#: 175478 / SEC#: , 8-69601

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
141 West Jackson Blvd Suite 1940, Chicago, IL 60604
Mailing Address
141 West Jackson Blvd Suite 1940, Chicago, IL 60604
Phone number
(312) 561-3149
Established
Illinois since 02/24/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JONKHEER, JONPAULSHAREHOLDER
RESCH, TYLER JAMESMEMBER
TAUNT, GREGORY BLAKEMEMBER AND CHIEF COMPLIANCE OFFICER5507626
NHP DISTRIBUTION HOLDINGS LLCMEMBER
SHEA, THOMAS EDWARDFINOP2299633

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

IASG ALTERNATIVES, LLC

CRD#: 175478Kenmore, WA 98028

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