Douglas L. 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.
Douglas Louis Dumond, who also goes by Doug Dumond, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1985. Douglas had worked at 14 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2013 - November 27, 2013
CLARION PARTNERS SECURITIES, LLC
June 27, 2011 - August 7, 2013
FORESIDE FUND SERVICES, LLC
August 16, 2010 - June 28, 2011
VOYA INVESTMENTS DISTRIBUTOR, LLC
October 14, 2008 - August 16, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
April 17, 2007 - October 23, 2007
BLACKROCK INVESTMENTS, LLC
April 15, 2005 - November 30, 2005
GE INVESTMENT DISTRIBUTORS, INC
July 29, 2004 - October 4, 2004
QUASAR DISTRIBUTORS, LLC
June 23, 1998 - October 1, 2002
NATIXIS DISTRIBUTION, LLC
March 15, 1996 - January 8, 1998
METROPOLITAN LIFE INSURANCE COMPANY
March 15, 1996 - January 8, 1998
MSI FINANCIAL SERVICES, INC.
October 15, 1993 - October 27, 1995
VOYA FINANCIAL PARTNERS, LLC
July 26, 1991 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
January 25, 1990 - January 27, 1995
AELTUS CAPITAL, INC
August 22, 1985 - October 7, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 22, 1985 - December 20, 1989
AETNA FINANCIAL SERVICES, INC.
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
CLARION PARTNERS SECURITIES, LLC
CRD#: 166384 / SEC#: , 8-69204
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLARION PARTNERS | MANAGING MEMBER | 108803 |
| ANDERSON, EVANS KEPHART | CHIEF EXECUTIVE OFFICER | 7360699 |
| PATTEN, DEIRDRE MARIAN | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL/PRINCIPAL FINANCIAL OFFICER | 1357509 |
| SILK, BARBARA | ASSISTANT TREASURER | 6697872 |
| STABLER, JOSEPH PENN | SECRETARY | 6886387 |
Red Flags
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