William P. Dubose

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CRD#: 2968906

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Perry Dubose IV, CFP®, who also goes by Bill Dubose, William P Dubose IV, William Perry Dubose Iv, William P Dubose Iv, Cfp, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1997. William had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Dubose | William P Dubose Iv | William Perry Dubose Iv | William P Dubose Iv, Cfp

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.

1. 02/16/2007 - MASSMUTUAL - NON-VARIABLE INSURANCE - TO SECURE A BROKER'S CONTRACT WITH MASSMUTUAL TO BE ABLE TO SERVICE FORMER CLIENTS AND TO SELL TRADITIONAL PRODUCTS (ANNUITIES, LIFE, DISABILITY, LONG-TEM CARE). CONTRACT THROUGH MASSMUTUAL AGENCY #133, VIENNA, VA, ROBERT NORMAN, GENERAL AGENT. - 5% OF TIME SPENT - MCLEAN, VA 2. 1/28/2019 - Capitol Metro Financial Services, Inc. - Non-Variable Insurance - 7230 Lee DeForest Dr, Suite 105, Columbia, MD 21046 - 2 Hours Per Month During Securities Trading - Non-variable life insurance, disability, and long-term care insurance as well as fixed annuities.

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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Past

November 18, 2019 - January 21, 2025

HERITAGE FINANCIAL LLC

RIA

CRD#: 285149

McLean, VA

Past

January 29, 2007 - December 4, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

MCLEAN, VA

Past

January 29, 2007 - December 4, 2019

LPL FINANCIAL LLC

CRD#: 6413

MCLEAN, VA

Past

November 15, 1999 - January 30, 2007

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

VIENNA, VA

Past

November 17, 1997 - January 30, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

VIENNA, VA

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".

HERITAGE FINANCIAL LLC

HERITAGE FINANCIAL LLC | HERITAGE FINANCIAL, LLC

CRD#: 285149 / SEC#: 801-114336

RIA

Registered Investment Advisory firm - (11/26/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (12/7/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/7/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (12/20/2018 Terminated)

Maryland

Registered Investment Advisory firm - (12/27/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (12/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/7/2018 Terminated)

Virginia

Registered Investment Advisory firm - (12/12/2018 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.

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: 8/31/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1997

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: 8/18/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/14/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/19/2005

General Securities Principal Examination

Current Firm

HERITAGE FINANCIAL LLC

HERITAGE FINANCIAL LLC | HERITAGE FINANCIAL, LLC

CRD#: 285149 / SEC#: 801-114336

RIA

Registered Investment Advisory firm - (11/26/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (12/7/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/7/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (12/20/2018 Terminated)

Maryland

Registered Investment Advisory firm - (12/27/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (12/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/7/2018 Terminated)

Virginia

Registered Investment Advisory firm - (12/12/2018 Terminated)

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Contact information

Main Address

7001 Heritage Village Plaza Suite 190, Gainesville, VA 20155

Mailing Address

Phone number

(703) 754-1233

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-10-01 HERITAGE FINANCIAL FORM ADV PART 2 (10/1/2025)

Regulatory assets under management

Total Number of Accounts	1,380
AUM (Assets Under Management)	$ 334,741,601

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.

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Advisor Monitoring

Firm Stability Insights

William P. Dubose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

HERITAGE FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/1999

Series 63

Date: 11/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/18/2000

Series 6

Date: 11/14/1997

Series 24

Date: 12/19/2005

Current Firm

HERITAGE FINANCIAL LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE FINANCIAL LLC

TRUST BUT VERIFY

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