Gerald W. Dumas
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.
Gerald William Dumas, who also goes by Gerald Dumas, Jerry Dumas, was a registered financial advisor .
Gerald is a previously registered financial advisor and started their career in finance in 1987. Gerald had worked at 8 firms and has passed the Series 65, Series 63, 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
September 22, 2015 - December 17, 2015
ALLSTATE FINANCIAL SERVICES, LLC
December 22, 2014 - April 13, 2015
SORRENTO PACIFIC FINANCIAL, LLC
December 19, 2014 - April 13, 2015
SORRENTO PACIFIC FINANCIAL, LLC
March 5, 2013 - September 26, 2014
CAPITAL ONE FINANCIAL ADVISORS LLC
February 11, 2013 - September 26, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
October 29, 2010 - February 5, 2013
ALLSTATE FINANCIAL SERVICES, LLC
October 24, 2006 - June 11, 2010
CHASE INVESTMENT SERVICES CORP.
October 20, 2006 - June 11, 2010
CHASE INVESTMENT SERVICES CORP.
April 11, 2005 - December 7, 2006
CUNA BROKERAGE SERVICES, INC.
July 25, 2003 - December 7, 2006
CUNA BROKERAGE SERVICES, INC.
September 2, 1987 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 2, 1987 - July 16, 2003
EQUITABLE ADVISORS, LLC
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
