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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

SAMUEL THOMAS DUBOSE

Advisor at LPL FINANCIAL LLC

SUMTER, SC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:08ef6b75-c8e4-9e47-d84f-843801a8f9cb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 27, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 30, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Dec 30, 1998
First registration: Jan 27, 2004
Dual registered: yes, broker-dealer
Other names: PETE DUBOSE
IAPD individual key: 3160001

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 11, 2011	n/a	yes	SUMTER, SC	Current employment
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Jan 27, 2004	Oct 11, 2011	no	SUMTER, SC\|SUMTER, SC\|OLANTA, SC\|TURBEVILLE, SC\|LAKE CITY, SC\|FLORENCE, SC\|TIMMONSVILLE, SC\|PAWLEYS ISLAND, SC\|FLORENCE, SC\|PAMPLICO, SC\|ST. GEORGE, SC\|LYNCHBURG, SC\|JOHNSONVILLE, SC\|SCRANTON, SC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UVEST FINANCIAL SERVICES GROUP, INC.	LPL FINANCIAL LLC	Oct 11, 2011	Oct 11, 2011	0	Bulk transfer	Other

Relationships

Registered with (2)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 11, 2011 to presentfactForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Jan 27, 2004 to Oct 11, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:08ef6b75-c8e4-9e47-d84f-843801a8f9cb
First observed: Jan 27, 2004
Last observed: Sep 14, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SAMUEL THOMAS DUBOSE

Advisor at LPL FINANCIAL LLC

SUMTER, SC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:08ef6b75-c8e4-9e47-d84f-843801a8f9cb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:07 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Oct 11, 2011

n/a

yes

SUMTER, SC

Current employment

UVEST FINANCIAL SERVICES GROUP, INC.

n/a

Jan 27, 2004

Oct 11, 2011

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

UVEST FINANCIAL SERVICES GROUP, INC.

LPL FINANCIAL LLC

Oct 11, 2011

Bulk transfer

Other