Tony E. Dubose

LWM ADVISORY SERVICES

Plantation, FL 33324

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CRD#: 2600996

Professional summary

Tony Edward Dubose, AIF®, who also goes by Tony E Dubose, is a registered financial advisor currently at LWM ADVISORY SERVICES, LLC located in Plantation, Florida and LPL FINANCIAL LLC located in Plantation, Florida.

Tony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Tony has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony E 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tony Edward Dubose'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

July 30, 2014 - Present

LWM ADVISORY SERVICES, LLC

Office #1: 1250 S. Pine Island Road Suite 350, Plantation, FL 33324

RIA

CRD#: 172009

Plantation, FL

Current

May 1, 1997 - Present

LPL FINANCIAL LLC

Office #1: 1250 S Pine Island Rd Ste 350, Plantation, FL 33324

RIA

CRD#: 6413

Plantation, FL

Past

May 1, 1997 - December 8, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

MIAMI, FL

Past

May 15, 1995 - May 30, 1997

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

May 15, 1995 - May 30, 1997

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

LWM ADVISORY SERVICES, LLC

LEGACY RETIREMENT PLAN ADVISORS | LWM ADVISORY SERVICES, LLC | LEGACY WEALTH MANAGEMENT

CRD#: 172009 / SEC#: 801-80096

RIA

Registered Investment Advisory firm - (7/30/2014 Approved)

North Carolina

Registered Investment Advisory firm - (12/4/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(6/12/2023)

Arizona
(2/12/2007)

California
(5/21/1998)

IAR

California
(5/3/2016)

Colorado
(9/28/2010)

Connecticut
(3/25/2003)

Florida
(5/1/1997)

IAR

Florida
(8/7/2014)

Georgia
(5/1/1997)

Illinois
(2/9/2000)

Indiana
(3/23/2010)

Maryland
(6/29/2001)

Massachusetts
(4/29/1999)

Minnesota
(7/28/2020)

New Jersey
(5/22/2002)

New York
(1/14/1999)

North Carolina
(7/16/2001)

Ohio
(5/11/2023)

Oklahoma
(2/12/2007)

Oregon
(1/8/2015)

Pennsylvania
(5/27/2016)

South Carolina
(5/6/2016)

Tennessee
(5/10/2023)

Texas
(3/20/1998)

IAR

Texas
(7/30/2014)

Vermont
(1/3/2019)

Virginia
(8/16/2007)

Wisconsin
(5/8/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/12/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/5/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/12/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 9/19/2005

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/8/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LWM ADVISORY SERVICES, LLC

LEGACY RETIREMENT PLAN ADVISORS | LWM ADVISORY SERVICES, LLC | LEGACY WEALTH MANAGEMENT

CRD#: 172009 / SEC#: 801-80096

RIA

Registered Investment Advisory firm - (7/30/2014 Approved)

North Carolina

Registered Investment Advisory firm - (12/4/2014 Terminated)

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Contact information

Main Address

1250 S. Pine Island Road Suite 350, Plantation, FL 33324

Mailing Address

Phone number

(954) 474-7100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LWM LEGACY MANAGED PORTFOLIO II WRAP BROCHURE (3/5/2026)

RETIREMENT PLAN BROCHURE (3/5/2026)

LWM LEGACY MANAGED PORTFOLIO III WRAP BROCHURE (3/5/2026)

ADV BROCHURE (3/5/2026)

Regulatory assets under management

Total Number of Accounts	1,987
AUM (Assets Under Management)	$ 1,090,915,835

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Tony E. Dubose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tony Edward Dubose's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

LWM ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/1995

SIE

Date: 10/1/2018

Series 7

Date: 11/5/1998

Series 6

Date: 5/12/1995

Series 51

Date: 9/19/2005

Series 24

Date: 2/8/1999

FINRA

Current Firm

LWM ADVISORY SERVICES, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LWM ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Contact information

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