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David William Dube

CRD# 3041983·Registered 1998 - 2009
Barred: David William Dube was barred by both the FINRA and the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

David William Dube, who also goes by David W Dube, was a registered financial advisor. David was a previously registered financial advisor and started their career in finance 1998 - 2009. David had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

David W Dube

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

PEAK WEALTH OPPORTUNITIES, LLC·CRD# 144931
RIA
Largo, FL
October 23, 2007 - December 31, 2009
PEAK SECURITIES CORPORATION·CRD# 107907
RIA
Largo, FL
June 28, 2007 - December 31, 2009
PEAK SECURITIES CORPORATION·CRD# 107907
BD
Largo, FL
October 24, 2002 - February 16, 2010
COMPASS SECURITIES CORPORATION·CRD# 16168
BD
Braintree, MA
February 23, 2000 - December 31, 2000
FAB SECURITIES OF AMERICA, INC.·CRD# 28212
BD
New York, NY
August 24, 1998 - September 2, 1999

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Current Firm

PW
PEAK WEALTH OPPORTUNITIES, LLC

PEAK WEALTH OPPORTUNITIES, LLC

CRD#: 144931 / SEC#: 801-68410

Contact Information

Main Address

10225 Ulmerton Road Suite 3 D, Largo, FL 33771

Documents

Latest Form ADV

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2007About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1998About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1998About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 1998About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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