Gregory R. Dube
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Raymond Dube's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2012 - Present
ROSEHEART INVESTMENT ADVISORS, LLC
March 31, 2004 - August 12, 2008
GLEN RAUCH SECURITIES, INC.
March 22, 1999 - August 30, 2002
ALLIANCEBERNSTEIN INVESTMENTS, INC.
June 19, 1996 - October 29, 1998
LAZARD FRERES & CO. LLC
September 13, 1993 - May 8, 1995
PERSHING LLC
January 10, 1991 - April 29, 1992
KIDDER, PEABODY & CO. INCORPORATED
August 1, 1990 - December 7, 1990
UBS SECURITIES LLC
October 10, 1989 - March 3, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
January 8, 1985 - August 8, 1989
CREDIT SUISSE SECURITIES (USA) LLC
June 26, 1984 - October 28, 1985
LEHMAN BROTHERS INC.
April 24, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/5/2012)
Exams
Series 5
Date: 10/31/1981
Interest Rate Options ExaminationCurrent Firm
ROSEHEART INVESTMENT ADVISORS, LLC
CRD#: 161782 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 24 |
| AUM (Assets Under Management) | $ 23,981,621 |
Red Flags
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