Terry E. Dupont

DUPONT ADVISORY GROUP

Roann, IN

Some features on this profile are disabled

CRD#: 1181537

Professional summary

Terry Eugene Dupont is a registered financial advisor currently at DUPONT ADVISORY GROUP located in Roann, Indiana.

Terry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Terry has worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

OWNER OF DUPONT & ASSOCIATES. SALES OF LIFE INSURANCE, HEALTH INSURANCE, AND ANNUITIES. NON-INVESTMENT RELATED. Mr. Dupont is Managing Director of Redwood Tax Specialists; not investment related; Warsaw, IN; provides support to a team of CPAs, attorneys and tax professionals; approximately 10 % of his time is spent in this practice; start 01/2021.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terry Eugene Dupont's CRS (Customer Relationship Summary).

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

Current

January 31, 2011 - Present

DUPONT ADVISORY GROUP

RIA

CRD#: 153304

Roann, IN

Past

August 13, 2010 - December 31, 2010

DUPONT ADVISORY GROUP

RIA

CRD#: 153304

INDIANAPOLIS, IN

Past

March 14, 2006 - December 7, 2007

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

FISHERS, IN

Past

October 7, 1994 - December 19, 1995

INVESTMENT PLANNERS, INC.

CRD#: 18557

DECATUR, IL

Past

June 15, 1990 - January 27, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

June 15, 1990 - January 27, 1995

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

November 21, 1989 - August 22, 1990

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

February 27, 1987 - March 29, 1989

SENTRY EQUITY SERVICES, INC.

CRD#: 5069

STEVENS POINT, WI

Past

October 29, 1984 - February 13, 1987

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Past

July 27, 1983 - September 17, 1984

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(1/31/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/27/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/24/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 1/31/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DUPONT ADVISORY GROUP

DUPONT ADVISORY GROUP | EQUITY ASSET ADVISORS, LLC | DUPONT WEALTH MANAGEMENT | DUPONT EQUITY ASSET ADVISORS

CRD#: 153304 / SEC#:

Indiana

Registered Investment Advisory firm - (1/31/2011 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Roann, IN

Mailing Address

Phone number

260-982-4878 & 800-234-4452

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Terry E. Dupont

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terry Eugene Dupont's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUPONT ADVISORY GROUP

MADISON AVENUE SECURITIES, LLC

INVESTMENT PLANNERS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

SENTRY EQUITY SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

COUNTRY CAPITAL MANAGEMENT COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/2010

Series 63

Date: 1/24/2005

Series 6

Date: 1/31/2005

Current Firm

DUPONT ADVISORY GROUP

Contact information

Documents

Red Flags

Company Information

DUPONT ADVISORY GROUP

TRUST BUT VERIFY

Similar Advisors