JD
John B. Dubose
ASHTON THOMAS PRIVATE WEALTH
BOZEMAN, MT
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CRD#: 2503746
JD
Professional summary
John Bratton Dubose IV, CFP®, who also goes by Bratton Dubose, John Bratton Dubose, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Bozeman, Montana and M. S. HOWELLS & CO. located in Bozeman, Montana.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Planning
Estate Planning
Insurance Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Are you a "fiduciary"?
Yes
Aliases
Bratton Dubose | John Bratton Dubose
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.
OCT. 2019; ASHTON THOMAS PRIVATE WEALTH, SCOTTSDALE, AZ; INVESTMENT RELATED; REGISTERED INVESTMENT ADVISOR; SENIOR WEALTH ADVISOR; FINANCIAL PLANNING, PORTFOLIO MANAGEMENT; DEVOTE 200 HRS/MONTH, 5.5 HRS/DAY DURING MARKET HOURS. DEC. 2018; RESIDENTIAL RENTAL PROPERTY, BOZEMAN, MT; NON INVESTMENT RELATED; RENTAL PROPERTY (SINGLE FAMILY HOUSE); OWNER; COLLECT RENT, MAINTAIN PROPERTY; DEVOTE 1 HR/MONTH DURING NON MARKET HOURS. OCT. 2019; BEST IS THE STANDARD, BOZEMAN, MT; NON INVESTMENT RELATED; SINGLE MEMBER LLC, PASS THROUGH FOR PERSONAL TAXES; MANAGER; DEVOTE 2 HOURS/MO DURING NON MARKET HOURS. JUNE 2022; RESIDENTIAL RENTAL PROPERTY, GEORGETOWN, SC; NON INVESTMENT RELATED; RENTAL PROPERTY (SINGLE FAMILY HOUSE); OWNER; COLLECT RENT, MAINTAIN PROPERTY; DEVOTE 1 HR/MONTH DURING NON MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view John Bratton Dubose IV'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®
CFP®
Start date: 2006
Experience
Current
October 18, 2019 - Present
ASHTON THOMAS PRIVATE WEALTH
RIA
CRD#: 153902
BOZEMAN, MT
Current
November 18, 2019 - Present
M. S. HOWELLS & CO.
Office #1: 4575 Valley Commons Dr. Suite 201, Bozeman, MT 59718BD
CRD#: 104100
BOZEMAN, MT
Past
December 14, 2011 - October 30, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BOZEMAN, MT
Past
December 14, 2011 - October 29, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BOZEMAN, MT
Past
June 25, 2002 - November 8, 2004
DAVIDSON INVESTMENT ADVISORS, INC.
RIA
CRD#: 110552
GREAT FALLS, MT
Past
April 25, 2002 - December 14, 2011
D.A. DAVIDSON & CO.
RIA
CRD#: 199
BOZEMAN, MT
Past
July 20, 1994 - December 14, 2011
D.A. DAVIDSON & CO.
BD
CRD#: 199
BOZEMAN, MT
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".
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 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
IAR
Arizona(11/19/2019)
RR
California(11/18/2019)
RR
Colorado(1/3/2023)
IAR
Florida(10/31/2019)
RR
Florida(11/18/2019)
IAR
Georgia(10/31/2019)
RR
Illinois(11/18/2019)
IAR
Montana(10/18/2019)
RR
Montana(12/12/2019)
IAR
Oregon(8/30/2024)
RR
South Carolina(11/18/2019)
IAR
South Carolina(11/30/2023)
IAR
Texas(10/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
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Contact information
Main Address
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 732-4745
Established
Firm type
Fiscal year end
# of Employees
114
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,733 |
| AUM (Assets Under Management) | $ 4,051,333,740 |
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.
