Daniel Dubois
Daniel Dubois is a registered investment advisor at LPL Financial LLC, based in Franklin, TN, with 38 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
1453 Governors Ridge Ct, Franklin, TN, 37064-8933
Get directionsHistory
Regulatory History (2)
Customer Dispute
October 2012Employment Separation After Allegations
September 2007Other Business ActivitiesSells Insurance
Daniel receives royalties from Terra Nova Music, LLC, dedicating minimal time. He also sells non-variable insurance products, including fixed annuities and life insurance, and provides tax preparation services, each taking minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
VALIC Financial Advisors, INC.
VALIC Financial Advisors, INC.Broker
U.S. Bancorp Investments, INC.
U.S. Bancorp Investments, INC.Broker
Calton & Associates, INC.Broker
Fifth Third Securities, INC.Broker
Amsouth Investment Management Company LLC
Amsouth Investment Services, INC.
Amsouth Investment Services, INC.Broker
Invest Financial CorporationBroker
Pamco Securities and Insurance ServicesBroker
Security Pacific Brokers, INC.Broker
Lawson Financial CorporationBroker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.