Ervin P. Dumond
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ervin Paul Dumond was a registered financial professional .
Ervin is a previously registered financial professional and started their career in finance in 1983. Ervin had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2016 - November 10, 2021
BANKERS LIFE ADVISORY SERVICES, INC.
May 26, 2016 - October 6, 2021
BANKERS LIFE SECURITIES, INC.
August 11, 2010 - May 31, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 29, 2010 - May 26, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 30, 2007 - April 24, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
April 27, 2007 - April 24, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
October 30, 2002 - July 24, 2006
PRUCO SECURITIES, LLC.
March 3, 1983 - July 24, 2006
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
