DD
Daniel Dubois
NOBLE WEALTH MANAGEMENT
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 4445529
DD
Professional summary
Daniel Dubois is a registered financial advisor currently at NOBLE WEALTH MANAGEMENT, INC. located in Newport Beach, California and B.B. GRAHAM & COMPANY, INC. located in Aliso Viejo, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
DANIEL DUBOIS CPA & COMPANY, INC. POSITION: President NATURE: CPA Practice INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 160 START DATE: 07/01/1994 ADDRESS: 6B Liberty, Ste 130, Aliso Viejo CA 92656 DESCRIPTION: 100% Owner and Operator of full service accounting firm. DAN & MARY DUBOIS-RENTAL POSITION: Landlord NATURE: Rental Property-I personally own building that I lease to my CPA practice and a few others. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/08/2007 ADDRESS: 6B Liberty, Ste 130, Aliso Viejo CA 92656 DESCRIPTION: I own a commercial office condo that I lease to my accounting firm, and two other tenants. DUBOIS FINANCIAL & INSURANCE SERVICES INC POSITION: Pres NATURE: Corporation used to process commission income INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/11/2000 ADDRESS: 6B Liberty, Ste 130, Aliso Viejo CA 92656 DESCRIPTION: Corporation was set up to receive investment commissions. 6B LIBERTY OWNERS ASSOCIATION POSITION: Treasuer NATURE: Treasurer of Building Association (Not paid) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/30/2011 ADDRESS: PO Box 52798, Irvine CA 92619 DESCRIPTION: I am treasurer of building association (I own a unit in the building complex) NOBEL WEALTH MANAGEMENT INC. POSITION: Rep NATURE: I am part of CPA program. I generate leads and refer them to Nobel Wealth Management Inc. Nobel Wealth Management makes investment recommendation. INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2010 ADDRESS: 6B Liberty, Aliso Viejo CA 92656 DAN DUBOIS-RENTAL; NOT INVESTMENT RELATED; MAUI, HI; OWNER-PASSIVE; START: 07/2024; 1 HOUR PER MO.; 0 HOURS DURING SECURITIES TRADING HOURS; PASSIVE OWNER OF VACATION RENTAL
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Dubois'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
February 25, 2014 - Present
NOBLE WEALTH MANAGEMENT, INC.
Office #1: 4299 Macarthur Blvd. Suite 100, Newport Beach, CA 92660RIA
CRD#: 169963
Newport Beach, CA
Current
June 20, 2017 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 6 B Liberty #130, Aliso Viejo, CA 92656RIA
BD
CRD#: 41533
Aliso Viejo, CA
Past
February 9, 2017 - March 20, 2017
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Aliso Viejo, CA
Past
September 12, 2014 - December 14, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
Aliso Viejo, CA
Past
December 11, 2013 - September 12, 2014
FINANCIAL TELESIS INC
RIA
CRD#: 31012
ALISO VIEJO, CA
Past
December 10, 2013 - September 12, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
ALISO VIEJO, CA
Past
January 19, 2012 - December 12, 2013
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
ALLISO VIEJO, CA
Past
January 2, 2009 - December 12, 2013
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
ALLISO VIEJO, CA
Past
December 21, 2001 - December 24, 2008
NYLIFE SECURITIES LLC
BD
CRD#: 5167
ALISO VIEJO, CA
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".
NW
NOBLE WEALTH MANAGEMENT, INC.
AJ SCHRYER FINANCIAL SERVICES, INC. | NOBLE WEALTH MANAGEMENT, INC.
CRD#: 169963 / SEC#: 801-108555
RIA
Registered Investment Advisory firm - (10/24/2016 Approved)California
Registered Investment Advisory firm - (12/9/2016 Terminated)Texas
Registered Investment Advisory firm - (11/9/2016 Terminated)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.RR
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
IAR
California(2/25/2014)
RR
California(6/20/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NW
NOBLE WEALTH MANAGEMENT, INC.
AJ SCHRYER FINANCIAL SERVICES, INC. | NOBLE WEALTH MANAGEMENT, INC.
CRD#: 169963 / SEC#: 801-108555
RIA
Registered Investment Advisory firm - (10/24/2016 Approved)California
Registered Investment Advisory firm - (12/9/2016 Terminated)Texas
Registered Investment Advisory firm - (11/9/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4299 Macarthur Blvd. Suite 100, Newport Beach, CA 92660
Mailing Address
Phone number
(888) 272-2008
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 660 |
| AUM (Assets Under Management) | $ 212,887,393 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
