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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

Michael Anthony DuBoise

Advisor at PROSPERA FINANCIAL SERVICES, INC.

El Paso, TX | Los Ranchos, NM

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Search this name across graphsid dfx:ria:2250caa6-4ecb-2de3-8f5b-14f8d1b8d9f4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 13, 2003 to Sep 15, 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: PROSPERA FINANCIAL SERVICES, INC.
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: Jul 12, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jul 12, 2002
First registration: Mar 13, 2003
Dual registered: yes, broker-dealer
Other names: Michael DuBoise|Mike DuBoise
IAPD individual key: 4553531

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
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Dec 14, 2020	n/a	yes	El Paso, TX\|Los Ranchos, NM	Current employment
WADDELL & REED	Former SEC adviser	Dec 7, 2020	Dec 16, 2020	no	LAS VEGAS, NV\|LOS RANCHOS, NM	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 1, 2020	no	ALBUQUERQUE, NM\|Albuquerque, NM	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 23, 2004	Jun 1, 2009	no	ALBUQUERQUE, NM\|ALBUQUERQUE, NM	Previous registration
WS GRIFFITH SECURITIES, INC.	n/a	Mar 13, 2003	Jun 17, 2004	no	ALBUQUERQUE , NM	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
WADDELL & REED	PROSPERA FINANCIAL SERVICES, INC.	Dec 16, 2020	Dec 14, 2020	-2	Firm change	Ibd to RIA
MORGAN STANLEY	WADDELL & REED	Dec 1, 2020	Dec 7, 2020	6	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
WS GRIFFITH SECURITIES, INC.	CITIGROUP GLOBAL MARKETS INC.	Jun 17, 2004	Jun 23, 2004	6	Firm change	Other

Relationships

Registered with (5)

→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: current employment
Dec 14, 2020 to presentfactForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Dec 7, 2020 to Dec 16, 2020factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 1, 2020factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jun 23, 2004 to Jun 1, 2009factForm ADV
→ WS GRIFFITH SECURITIES, INC.Registered adviserregistration: previous registration
Mar 13, 2003 to Jun 17, 2004factForm ADV

Dated events

No dated event names this entity yet.