DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Eric Christopher Dubroc
Feed of 09/14/2026
At current firm
2 y
since Jun 14, 2024
In the industry
37 y
since Dec 16, 1988 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Wealth, Inc. BD affiliated currentsince Jun 14, 2024 · Mandeville, La
- Securities America Advisors, Inc. formerApr 7, 2022 to Jun 14, 2024 · Covington, La
- Beam Wealth Advisors, Inc. independent RIAJul 8, 2013 to Apr 5, 2022 · Covington, La
- Hancock Whitney Investment Services Inc. independent RIAFeb 7, 2012 to Dec 19, 2012 · Mandeville, La
- Cetera Investment Services LLC formerApr 22, 2010 to Feb 13, 2012 · Mandeville, La
- Morgan Keegan & Company, LLC formerSep 13, 2005 to Apr 9, 2010 · Mandeville, La
Moves
a registration end followed by a registration begin elsewhere
- Securities America Advisors, Inc. to Osaic Wealth, Inc.left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- Beam Wealth Advisors, Inc. to Securities America Advisors, Inc.left Apr 5, 2022, registered Apr 7, 2022 (2 days) · RIA to affiliated broker-dealer or bank
- Hancock Whitney Investment Services Inc. to Beam Wealth Advisors, Inc.left Dec 19, 2012, registered Jul 8, 2013 (201 days) · Other
- Cetera Investment Services LLC to Hancock Whitney Investment Services Inc.left Feb 13, 2012, registered Feb 7, 2012 (-6 days) · Other
- Morgan Keegan & Company, LLC to Cetera Investment Services LLCleft Apr 9, 2010, registered Apr 22, 2010 (13 days) · Other
Signals
- Eric Christopher Dubroc left Beam Wealth Advisors, Inc. for Securities America Advisors, Inc. (registered 2022-04-07)Apr 5, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address