Lacy Bennett Dubose III
Professional Summary
Lacy Bennett Dubose III is a registered financial advisor currently at STATE FARM VP MANAGEMENT CORP. located in Bloomington, Illinois. Lacy is registered as a RR (Registered Representative) and started their career in finance in 2000. Lacy has worked at 1 firm and has passed the Series 63, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
KOVACK ADVISORS, INC.
ADUNA CAPITAL
PNC WEALTH MANAGEMENT LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
KOVACK ADVISORS, INC.
ADUNA CAPITAL
PNC WEALTH MANAGEMENT LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
KOVACK ADVISORS, INC.
ADUNA CAPITAL
PNC WEALTH MANAGEMENT LLC
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.
Similar Advisors
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
KOVACK ADVISORS, INC.
ADUNA CAPITAL
PNC WEALTH MANAGEMENT LLC
Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
KOVACK ADVISORS, INC.
ADUNA CAPITAL
PNC WEALTH MANAGEMENT LLC
Current Firm
STATE FARM VP MANAGEMENT CORP.
Contact Information
Main Address
One State Farm Plaza, Bloomington, IL 61710-0001Mailing Address
One State Farm Plaza, Bloomington, IL 61710-0001Phone Number
(833) 430-8518Established
Delaware since 11/27/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
LargeFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| KRISCHEL, AMY LYNN | ASSISTANT VICE PRESIDENT | 4810392 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WIEDUWILT, ANDREW PATRICK | VICE PRESIDENT | 8074278 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
Regulatory Event
7Similar Advisors
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
KOVACK ADVISORS, INC.
ADUNA CAPITAL
PNC WEALTH MANAGEMENT LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
KOVACK ADVISORS, INC.
ADUNA CAPITAL
PNC WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
(6/25/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 2000About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Dec 2014About the Series 26 examSRO Registrations
Similar Advisors
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
KOVACK ADVISORS, INC.
ADUNA CAPITAL
PNC WEALTH MANAGEMENT LLC
CRS (Client Relationship Summary) - BD
Click below to view Lacy Bennett Dubose III's CRS (Customer Relationship Summary).
Similar Advisors
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
KOVACK ADVISORS, INC.
ADUNA CAPITAL
PNC WEALTH MANAGEMENT LLC