Susan Elizabeth Dumont
Professional Summary
Susan Elizabeth Dumont, who also goes by Susan Elizabeth Grant, is a registered financial advisor currently at ENCLAVE CAPITAL LLC located in Miami, Florida and KWM SECURITIES LLC located in Austin, Texas. Susan is registered as a RR (Registered Representative) and started their career in finance in 1994. Susan has worked at 15 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 87, Series 55, Series 7, Series 24, Series 14,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Susan Elizabeth Grant
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
T.R. WINSTON & COMPANY, INC. | T.R. WINSTON & COMPANY, LLC
Contact Information
Main Address
376 Main Street, Bedminster, NJ 07921-2613Mailing Address
P.o. Box 74 376 Main Street, Bedminster, NJ 07921Phone Number
(908) 234-0300Established
Delaware since 08/18/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUNNELS, G TYLER | DIRECTOR, CHAIRMAN AND CEO | 1415264 |
| KANG, KAREN | EXECUTIVE VICE PRESIDENT AND ROSFP | 4367718 |
| CRISWELL, JEFFREY LENOX SR | VICE PRESIDENT, SECRETARY, CHIEF FINANCIAL OFFICER | 2121440 |
| DUMONT, SUSAN ELIZABETH | CCO | 2346501 |
| HEMEDES, STEPHEN NATHANIEL | MUNICIPAL PRINCIPAL AND HEAD TRADER | 6870830 |
Disclosures
Regulatory Event
5Arbitration
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(9/25/2024)
(6/18/2026)
(9/25/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Dec 2006About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Aug 2000Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 1999About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 1999About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Susan Elizabeth Dumont's CRS (Customer Relationship Summary).
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