Thomas W. Dubois

DUBOIS CAPITAL MANAGEMENT LLC

Saratoga Springs, NY

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CRD#: 7779658

Professional summary

Thomas W Dubois is a registered financial advisor currently at DUBOIS CAPITAL MANAGEMENT LLC located in Saratoga Springs, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Thomas has worked at 1 firm and has passed the Series 65 and SIE 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.

Daloopa; Not investment related; Enterprise Account Executive; Software; 04/2023; New York, New York; 160 hours per month; 100 during securities trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas W 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®

None

Experience

Current

July 25, 2023 - Present

DUBOIS CAPITAL MANAGEMENT LLC

RIA

CRD#: 327589

Saratoga Springs, NY

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

New York
(7/25/2023)

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Exams

State Security Law Exam

IAR

Series 65

Date: 3/13/2023

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/10/2021

Securities Industry Essentials Examination

Current Firm

DUBOIS CAPITAL MANAGEMENT LLC

CRD#: 327589 / SEC#:

New York

Registered Investment Advisory firm - (7/25/2023 Approved)

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Contact information

Main Address

Saratoga Springs, NY

Mailing Address

Phone number

(518) 245-3003

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 70,000

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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Thomas W. Dubois

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas W Dubois's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUBOIS CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/2023

SIE

Date: 12/10/2021

Current Firm

DUBOIS CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DUBOIS CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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