Individual Firm
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Michael Anthony DuBoise
Michael DuBoise
CRD#: 4553531
IA
B
PROSPERA FINANCIAL SERVICES, INC.CRD#: 10740 332 Nuevo Hacienda Ln. NW
Los Ranchos, NM 87107
Los Ranchos, NM 87107
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11/13/2020
Employment Separation After Allegations
10/19/2009
Customer Dispute
Denied
State Registrations
B
Alabama 12/17/2020
B
North Carolina 12/15/2020
B
Arizona 12/11/2020
B
Oregon 12/6/2022
B
California 12/11/2020
B
Texas 12/15/2020
B
Colorado 12/15/2020
IA
Texas 12/15/2020
B
Florida 3/31/2021
B
Utah 12/23/2020
B
Idaho 7/6/2023
B
Virginia 1/13/2021
B
New Mexico 12/11/2020
B
Washington 9/16/2024
IA
New Mexico 12/14/2020
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/14/2020
B
Registered with this firm since 12/11/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/07/2020 - 12/16/2020 | LOS RANCHOS, NM | |
B | 12/04/2020 - 12/16/2020 | LOS RANCHOS, NM | |
IA | 06/01/2009 - 12/01/2020 | ALBUQUERQUE, NM | |
B | 06/01/2009 - 12/01/2020 | ALBUQUERQUE, NM | |
IA | 06/23/2004 - 06/01/2009 | ALBUQUERQUE, NM | |
B | 06/18/2004 - 06/01/2009 | ALBUQUERQUE, NM | |
IA | 03/13/2003 - 06/17/2004 | ALBUQUERQUE , NM | |
B | 07/09/2002 - 06/17/2004 | HARTFORD, CT |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.