Theodore E. Dumbauld
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.
Theodore Eugene Dumbauld, who also goes by Ted Dumbauld, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1989. Theodore had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 3, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2005 - February 16, 2007
AIA CAPITAL MARKETS LLC
September 27, 1996 - July 8, 1999
PALOMA SECURITIES L.L.C.
May 10, 1995 - May 2, 1996
DEUTSCHE BANK SECURITIES INC.
November 14, 1989 - August 23, 1993
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
AIA CAPITAL MARKETS LLC
CRD#: 44156 / SEC#: , 8-50558
Contact information
Documents
Direct owners and executive officers
Red Flags
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