Gregory R. Dube

ROSEHEART INVESTMENT ADVISORS

Ho-ho-kus, NJ

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CRD#: 851324

Professional summary

Gregory Raymond Dube is a registered financial advisor currently at ROSEHEART INVESTMENT ADVISORS, LLC located in Ho-ho-kus, New Jersey.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Gregory has worked at 11 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 53 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.

I AM CHAIRMAN OF ROSEHEART ASSOCIATES, LLC, A NEW JERSEY CORPORATION THAT OWNS, OPERATES AND MANAGES COMMERCIAL PROPERTY IN NEW JERSEY FOR INVESTMENT PURPOSES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Raymond Dube'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

September 5, 2012 - Present

ROSEHEART INVESTMENT ADVISORS, LLC

RIA

CRD#: 161782

Ho-ho-kus, NJ

Past

March 31, 2004 - August 12, 2008

GLEN RAUCH SECURITIES, INC.

CRD#: 17843

NEW YORK, NY

Past

March 22, 1999 - August 30, 2002

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

June 19, 1996 - October 29, 1998

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

Past

September 13, 1993 - May 8, 1995

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

January 10, 1991 - April 29, 1992

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

August 1, 1990 - December 7, 1990

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

October 10, 1989 - March 3, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

January 8, 1985 - August 8, 1989

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 26, 1984 - October 28, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

Past

April 24, 1978 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

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 Jersey
(9/5/2012)

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: 8/31/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/31/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 4/15/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/16/1994

Municipal Securities Principal Examination

Current Firm

ROSEHEART INVESTMENT ADVISORS, LLC

ROSEHEART INVESTMENT ADVISORS | ROSEHEART INVESTMENT ADVISORS, LLC

CRD#: 161782 / SEC#:

New Jersey

Registered Investment Advisory firm - (9/5/2012 Approved)

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Contact information

Main Address

Ho-ho-kus, NJ

Mailing Address

Phone number

(201) 788-1813

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 19,000,256

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

Gregory R. Dube

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Raymond Dube's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLEN RAUCH SECURITIES, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

LAZARD FRERES & CO. LLC

PERSHING LLC

KIDDER, PEABODY & CO. INCORPORATED

UBS SECURITIES LLC

DREXEL BURNHAM LAMBERT INCORPORATED

CREDIT SUISSE SECURITIES (USA) LLC

LEHMAN BROTHERS INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/2012

Series 63

Date: 4/1/1986

Series 5

Date: 10/31/1981

Series 7

Date: 4/15/1978

Series 53

Date: 6/16/1994

Current Firm

ROSEHEART INVESTMENT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROSEHEART INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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