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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

ANDRE WILLIAM DUBOIS

Advisor at LPL FINANCIAL LLC

SELAH, WA

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Search this name across graphsid dfx:ria:9268be3b-278b-a1b5-5d7c-1a8d0f393660

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 13, 2000 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: Jan 14, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 14, 1994
First registration: Dec 13, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 2077774

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	Feb 1, 2022	n/a	yes	SELAH, WA	Current employment
GOLDEN STATE WEALTH MANAGEMENT, LLC	Independent wealth	Sep 14, 2015	Jan 3, 2022	no	SEATTLE, WA\|POWELL, WY	Previous registration
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Former SEC adviser	Oct 3, 2014	Nov 20, 2015	no	SEATTLE, WA\|OLYMPIA, WA\|SEATTLE, WA	Previous registration
KMS FINANCIAL SERVICES, INC	Former SEC adviser	Jan 17, 2007	Sep 22, 2014	no	SEATTLE, WA\|SEATTLE, WA\|SELAH, WA	Previous registration
FISHER INVESTMENTS	Independent wealth	Jun 29, 2006	Jan 3, 2007	no	SEATTLE, WA\|PLANO, TX	Previous registration
PGIM INVESTMENTS LLC	Asset manager	Dec 13, 2000	Oct 14, 2005	no	SEATTLE, WA	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
GOLDEN STATE WEALTH MANAGEMENT, LLC	LPL FINANCIAL LLC	Jan 3, 2022	Feb 1, 2022	29	Firm change	RIA to ibd
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	GOLDEN STATE WEALTH MANAGEMENT, LLC	Nov 20, 2015	Sep 14, 2015	-67	Firm change after gap	Other
KMS FINANCIAL SERVICES, INC	FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Sep 22, 2014	Oct 3, 2014	11	Firm change	Other
FISHER INVESTMENTS	KMS FINANCIAL SERVICES, INC	Jan 3, 2007	Jan 17, 2007	14	Firm change	Other
PGIM INVESTMENTS LLC	FISHER INVESTMENTS	Oct 14, 2005	Jun 29, 2006	258	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 1, 2022 to presentfactForm ADV
→ GOLDEN STATE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 14, 2015 to Jan 3, 2022factForm ADV
→ FINANCIAL ADVOCATES INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Oct 3, 2014 to Nov 20, 2015factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserregistration: previous registration
Jan 17, 2007 to Sep 22, 2014factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Jun 29, 2006 to Jan 3, 2007factForm ADV
→ PGIM INVESTMENTS LLCRegistered adviserregistration: previous registration
Dec 13, 2000 to Oct 14, 2005factForm ADV

Dated events

Occurred
Jan 3, 2022
Advisor changed firm
Andre William Dubois left Golden State Wealth Management, Llc for Lpl Financial Llc (registered 2022-02-01)
Form ADVobserved 5 days ago