MD
Michael S. Dum
USA FINANCIAL SECURITIES LLC
MANDEVILLE, LA 70471
Some features on this profile are disabled
CRD#: 1990931
MD
Professional summary
Michael Scott Dum is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Mandeville, Louisiana.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 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.
1) RHINO ADVISORY GROUP LLC - 2895 HIGHWAY 190 STE 203. MANDEVILLE, LA 70471. START DATE 09/28/2023. OWNER AND MANAGING MEMBER. LIFE AND HEALTH INSURANCE. THIS LLC WAS ORIGINALLY SETUP TO BE A PARENT COMPANY TO RHINO HEALTH ADVISORS AND RHONL WEALTH ADVISORS. IT MAY ALSO BE USED FOR POTENTIAL PROPERTY OWNERSHIP OF A BUSINESS LOCATION FOR THESE ENTITIES. AS OF NOW THIS HASNT TAKEN PLACE AND THERE IS NO ACTIVITY UNDER RHINK ADVISORY GROUP. INVESTMENT RELATED. 0 HOURS PER MONTH DEVOTED TO BUSINESS. 0 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 2) RHINO HEALTH ADVISORS LLC - 2895 HIGHWAY 190 STE 203. MANDEVILLE, LA 70471. START DATE 07/09/2020. OWNER AND MANAGING MEMBER. MEDICARE/MEDICAID SUPPLEMENT. SALES OF MEDICARE ADVANTAGE, MEDICARE SUPPLEMENT, PRESCRIPTION DRUG PLANS. NOT INVESTMENT RELATED. 80 HOURS DEVOTED TO BUSINESS. 4 HOURS DEVOTED DURING SECURITIES TRADING HOURS. 3) RHINO WEALTH ADVISORS LLC - 2895 HIGHWAY 190 STE 203. MANDEVILLE, LA 70471. START DATE 09/28/2023. OWNER AND SOLE MEMBER. DBA FOR ALL LIFE, ANNUITY AND INVESTMENT RELATED BUSINESS. INVESTMENT RELATED. 80 HOURS DEVOTED TO BUSINESS. 80 HOURS DEVOTED DURING SECURITIES TRADING HOURS. 4) DUMLUCK ENTERPRISES LLC - 2895 HIGHWAY 190 STE 203. MANDEVILLE, LA 70471. START DATE 06/09/2025. OWNER. EQUIPMENT LEASING. ADMINISTRATIVE. 1 HOUR DEVOTED TO BUSINESS. 0 HOURS DEVOTED DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Scott Dum's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Scott Dum'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®
NoneExperience
Current
August 29, 2002 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 2895 Highway 190 Suite 203, Mandeville, LA 70471RIA
BD
CRD#: 103857
MANDEVILLE, LA
Current
April 12, 2002 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 2895 Highway 190 Suite 203, Mandeville, LA 70471RIA
BD
CRD#: 103857
MANDEVILLE, LA
Past
December 17, 1999 - April 4, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 17, 1999 - April 4, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
January 31, 1996 - October 20, 1998
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
October 4, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
October 4, 1989 - November 6, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Connecticut(7/28/2025)
RR
Louisiana(4/12/2002)
IAR
Louisiana(8/29/2002)
IAR
Maryland(7/21/2014)
IAR
Mississippi(9/4/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
6020 East Fulton, Ada, MI 49301
Mailing Address
6020 East Fulton, Ada, MI 49301
Phone number
(888) 407-8198
Established
Delaware since 07/03/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
166
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USA FINANCIAL LLC | OWNER | |
| BACHERT, WILLIAM CLAYTON | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR | 4576698 |
| ENDERS, BRENT DAVID | PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004 | 2858719 |
| MCCONNELL, JAMES CARROLL JR | CHIEF OPERATIONS OFFICER | 4679140 |
| MERSMAN, MARK ROBERT | CHIEF MARKETING OFFICER | 4702400 |
| THOMASON, DAWN M | CHIEF COMPLIANCE OFFICER | 5275125 |
| WALTERS, MICHAEL DAVID | CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996 | 2580592 |
Regulatory assets under management
| Total Number of Accounts | 1,750 |
| AUM (Assets Under Management) | $ 301,510,438 |
Disclosures
| Regulatory Event | 4 |
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.
