DD
Daniel W. Dubose
FINANCIAL GRAVITY FAMILY OFFICE SERVICES
Houston, TX 77063
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CRD#: 4388473
DD
Professional summary
Daniel Wade Dubose JR. is a registered financial advisor currently at FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC located in Houston, Texas.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Daniel has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Castle & Company CPAs Capital, PLLC is non-investment related and located at 7887 San Felipe Street Suite 122, Houston TX 77063. This is a CPA firm and Daniel Dubose is a Firm Partner providing CPA needs. Started in June 2014 dedicating 150 hours per month. Daniel W. Dubose, PC is non-investment related and located at 7887 San Felipe Street Suite 122, Houston TX 77063. This is a CPA firm and Daniel Dubose is the President & General Manager providing CPA needs. Started in June 2014 dedicating 10 hours per month. Financial Gravity Enhanced Markets, LLC, as an Independent Agent. This is investment related and located at 2501 Ranch Road S 620, Suite 110 Austin, TX 78734. Licensed and registered to sell life, accident, and other lines of insurance for Financial Gravity Enhanced Markets, LLC. dedicating approximately 5% of his time on insurance-related activities. Conflict of interest due to additional compensation on these products.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Wade Dubose JR.'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®
NoneExperience
Current
September 23, 2021 - Present
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
Office #1: 7887 San Felipe Street Suite 122, Houston, TX 77063RIA
CRD#: 316024
Houston, TX
Past
June 16, 2020 - October 4, 2021
FORTA FINANCIAL GROUP, INC.
RIA
CRD#: 28784
Houston, TX
Past
February 10, 2017 - June 19, 2020
ARCHER INVESTMENT CORPORATION
RIA
CRD#: 136403
Houston, TX
Past
May 30, 2001 - December 31, 2003
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
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".
FG
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
CRD#: 316024 / SEC#: 801-122258
RIA
Registered Investment Advisory firm - (9/9/2021 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.Highlighted states indicate IAR registrations
IAR
Texas(9/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
FG
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
CRD#: 316024 / SEC#: 801-122258
RIA
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Contact information
Main Address
2501 Ranch Road 620 S Ste 110, Lakeway, TX 78734
Mailing Address
Phone number
(800) 588-3893
Established
Firm type
Fiscal year end
# of Employees
45
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,745 |
| AUM (Assets Under Management) | $ 467,196,918 |
Red Flags
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