MD
Michael J. Dubee
CETERA INVESTMENT ADVISERS LLC
SARASOTA, FL 34239
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CRD#: 6955655
MD
Professional summary
Michael James Dubee, who also goes by Michael Dubee, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sarasota, Florida and CETERA WEALTH SERVICES, LLC located in Sarasota, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Michael has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Dubee
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.
1) FLORIDA BURN BASEBALL; NOT INVESTMENT RELATED; 3129 DONALD ROSS RD EAST SARASOTA, FL 34240; YOUTH BASEBALL ORGANIZATION; ASSISTANT COACH; 01/02/2019; APPX 30 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; ASSIST YOUTH PLAYERS IN PROPER BASEBALL MECHANICS AND SKILLS
2) ROSENBERG ASSET MANAGEMENT; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; FINANCIAL SERVICES DBA ROSENBERG ASSET MANAGEMENT; INVESTMENT ADVISOR; 07/01/2018; APPX 40 HOURS/MONTH; APPX 40 HOURS/MONTH DURING TRADING; STARTING BUILDING MY BOOK OF BUSINESS AT SUMMIT BROKERAGE DBA ROSENBERG ASSET MANAGEMENT
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Dubee'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
March 27, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1219 S East Ave Ste C306, Sarasota, FL 34239RIA
CRD#: 105644
SARASOTA, FL
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1219 S East Ave Ste C306, Sarasota, FL 34239BD
CRD#: 13572
Sarasota, FL
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
February 4, 2019 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
SARASOTA, FL
Past
July 19, 2018 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
SARASOTA, FL
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
RR
Florida(9/21/2019)
IAR
Florida(3/27/2023)
RR
Georgia(1/12/2021)
RR
Massachusetts(11/17/2021)
RR
North Carolina(6/4/2020)
RR
Ohio(9/20/2019)
RR
Virginia(1/5/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
