Luis A. Dubon

ANCHOR ADVISORY

Miami, FL 33131

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CRD#: 5036124

Professional summary

Luis Alberto Dubon is a registered financial advisor currently at ANCHOR ADVISORY, LLC located in Miami, Florida.

Luis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Luis has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Alberto Dubon'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®

None

Experience

Current

December 18, 2018 - Present

ANCHOR ADVISORY, LLC

Office #1: 1200 Brickell Ave Ste 1811, Miami, FL 33131

RIA

CRD#: 297570

Miami, FL

Past

December 10, 2014 - December 7, 2018

SAFRA SECURITIES LLC

CRD#: 47873

AVENTURA, FL

Past

December 18, 2012 - November 25, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMI, FL

Past

January 26, 2012 - November 25, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MIAMI, FL

Past

March 17, 2010 - November 29, 2011

HSBC SECURITIES (USA) INC.

CRD#: 19585

CORAL GABLES, FL

Past

August 26, 2009 - March 8, 2010

LATAM INVESTMENTS, LLC

CRD#: 133163

MIAMI, FL

Past

May 29, 2007 - September 4, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MIAMI, FL

Past

October 4, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

MIAMI, FL

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

Florida
(12/18/2018)

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: 4/23/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/2005

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: 2/11/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ANCHOR ADVISORY, LLC

CRD#: 297570 / SEC#:

Florida

Registered Investment Advisory firm - (12/18/2018 Approved)

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Contact information

Main Address

1200 Brickell Ave Ste 1811, Miami, FL 33131

Mailing Address

Phone number

(305) 491-9391

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 23,977,878

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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Firm Stability Insights

Luis A. Dubon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Alberto Dubon's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAFRA SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

HSBC SECURITIES (USA) INC.

LATAM INVESTMENTS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 4/23/2018

Series 63

Date: 10/13/2005

SIE

Date: 10/1/2018

Series 7

Date: 2/11/2008

Series 6

Date: 10/3/2005

Current Firm

ANCHOR ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ANCHOR ADVISORY, LLC

TRUST BUT VERIFY

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