Adolphus C. Dubose
Professional summary
Adolphus Cleveland Dubose JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Adolphus is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Adolphus had worked at 15 firms, which includes BANCSHARES FIRST, GUNNALLEN FINANCIAL INC, MPI FINANCIAL, QUANTUM CAPITAL CORPORATION, CORNA SECURITIES INC., OMNI CAPITAL MARKETS INCORPORATED, MULTIPLAN INVESTMENTS INC., FIRST SECURITIES CORPORATION OF COLUMBUS, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, ENTERPRISE FUND DISTRIBUTORS INC., CLAYTON BROKERAGE CO. OF ST. LOUIS INC., SHEARSON HAYDEN STONE INC., R. S. DICKSON POWELL KISTLER & CRAWFORD, HAYDEN STONE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2001 - July 24, 2001
BANCSHARES FIRST
May 3, 2000 - October 31, 2000
GUNNALLEN FINANCIAL, INC
March 10, 1998 - May 4, 2000
MPI FINANCIAL
September 12, 1997 - March 26, 1998
QUANTUM CAPITAL CORPORATION
January 17, 1992 - January 30, 1997
CORNA SECURITIES, INC.
January 3, 1991 - December 12, 1991
OMNI CAPITAL MARKETS, INCORPORATED
January 19, 1990 - January 14, 1991
MULTIPLAN INVESTMENTS, INC.
January 11, 1990 - February 9, 1990
FIRST SECURITIES CORPORATION OF COLUMBUS
February 15, 1988 - June 19, 1989
LEHMAN BROTHERS INC.
January 27, 1982 - February 15, 1988
E. F. HUTTON & COMPANY INC
October 18, 1979 - October 24, 1983
FIRST SECURITIES CORPORATION OF COLUMBUS
August 17, 1978 - July 11, 1979
ENTERPRISE FUND DISTRIBUTORS, INC.
August 5, 1975 - October 22, 1975
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
November 6, 1974 - August 14, 1975
SHEARSON HAYDEN STONE INC.
March 27, 1973 - November 11, 1974
E. F. HUTTON & COMPANY INC
April 20, 1972 - January 2, 1974
R. S. DICKSON, POWELL, KISTLER & CRAWFORD
January 4, 1971 - May 7, 1972
HAYDEN STONE INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/10/1978
Registered Representative ExaminationSeries 28
Date: 10/8/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
BANCSHARES FIRST
CRD#: 104444 / SEC#: , 8-52905
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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