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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

Anthony DuBose

Advisor at UBS FINANCIAL SERVICES INC.

Chicago, IL | CHICAGO, IL

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Search this name across graphsid dfx:ria:c0bab1e1-0656-4e55-6624-321de393e046

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 3, 2007 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: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jul 1, 2004
First registration: Apr 3, 2007
Dual registered: yes, broker-dealer
Other names: TONY B DUBOSE|A BEN DUBOSE|ANTHONY B DUBOSE|ANTHONY BENJAMIN DUBOSE
IAPD individual key: 4808530

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
UBS FINANCIAL SERVICES INC.	Wirehouse	May 20, 2022	n/a	yes	CHICAGO, IL\|Chicago, IL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 24, 2018	May 24, 2022	no	CHICAGO, IL	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Nov 2, 2018	Dec 10, 2018	no	SCOTTSDALE, AZ\|ST. PETERSBURG, FL	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	Mar 13, 2017	Nov 2, 2018	no	ST. PETERSBURG, FL\|CHICAGO, IL	Previous registration
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Aug 31, 2016	Mar 9, 2017	no	TAMPA, FL\|DUNEDIN, FL	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Apr 3, 2007	Dec 31, 2016	no	DUNEDIN, FL\|TAMPA, FL\|TAMPA, FL	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	May 24, 2022	May 20, 2022	-4	Firm change	Wirehouse to wirehouse
OSAIC WEALTH, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 10, 2018	Dec 24, 2018	14	Firm change	Ibd to wirehouse
SIGNATOR INVESTORS, INC.	OSAIC WEALTH, INC.	Nov 2, 2018	Nov 2, 2018	0	Bulk transfer	Ibd to ibd
TRUIST ADVISORY SERVICES, INC.	SIGNATOR INVESTORS, INC.	Mar 9, 2017	Mar 13, 2017	4	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	TRUIST ADVISORY SERVICES, INC.	Dec 31, 2016	Aug 31, 2016	-122	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:8174:IL:2022-05-22	May 24, 2022	May 20, 2022	CHICAGO, IL	Firm change

Relationships

Registered with (6)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
May 20, 2022 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 24, 2018 to May 24, 2022factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Nov 2, 2018 to Dec 10, 2018factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
Mar 13, 2017 to Nov 2, 2018factForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Aug 31, 2016 to Mar 9, 2017factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 3, 2007 to Dec 31, 2016factForm ADV

Dated events

Occurred
May 24, 2022
Advisor changed firm
Anthony Dubose left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ubs Financial Services Inc. (registered 2022-05-20)
Form ADVobserved 6 days ago