Derrick P. Dumont

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CRD#: 1163805

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.

Derrick Paul Dumont was a registered financial professional .

Derrick is a previously registered financial professional and started their career in finance in 1983. Derrick had worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 29, 1990 - September 7, 1993

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

CRD#: 16116

Past

August 25, 1983 - March 14, 1990

WULFF, HANSEN & CO.

CRD#: 908

SAN RAFAEL, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/23/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Current Firm

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC. | RICHARDSON, HARRY MICHAEL | FIRST CALIFORNIA REGIONAL SECURITIES, INC. | FIRST CALIFORNIA REGIONAL SECURITIES

CRD#: 16116 / SEC#: , 8-33985

Terminated by SEC on 10/21/1997

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Contact information

Main Address

Mailing Address

Phone number

Established

California since 03/27/1985

Firm type

Corporation

Fiscal year end

January

# of Employees

Documents

Red Flags

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Derrick P. Dumont

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

WULFF, HANSEN & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/23/1991

Series 7

Date: 8/20/1983

Current Firm

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

Contact information

Documents

Red Flags

Company Information

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

TRUST BUT VERIFY

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