AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SD

Susan E. Dumont

DELPHX SERVICES
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 2346501
SD

Professional summary

Susan Elizabeth Dumont, who also goes by Susan Elizabeth Grant, is a registered financial professional currently at DELPHX SERVICES CORPORATION located in New York, New York and ENCLAVE CAPITAL LLC located in Boca Raton, Florida.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1994. Susan has worked at 14 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 87, Series 55, Series 7, Series 24, Series 14, Series 10, Series 9, Series 4 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan Elizabeth Grant

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan Elizabeth Dumont's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 17, 2022 - Present

DELPHX SERVICES CORPORATION

Office #1: 57 West 57th 4th Floor, New York, NY 10019
BD
CRD#: 141368
NEW YORK, NY
Current

September 25, 2024 - Present

ENCLAVE CAPITAL LLC

Office #1: 301 Yamato Road Suite 2198, Boca Raton, FL 33431
BD
CRD#: 22732
Boca Raton, FL
Current

April 29, 2025 - Present

KWM SECURITIES LLC

BD
CRD#: 327258
Austin, TX
Past

January 10, 2023 - July 28, 2025

GREAT PINE INVESTMENTS LLC

BD
CRD#: 31538
MIAMI, FL
Past

October 21, 2022 - May 3, 2024

ENCLAVE CAPITAL LLC

BD
CRD#: 22732
BOCA RATON, FL
Past

June 24, 2022 - August 22, 2022

ENIGMA SECURITIES INC.

BD
CRD#: 306183
New York, NY
Past

November 12, 2021 - November 3, 2023

CHURCHILL CAPITAL USA, INC.

BD
CRD#: 143278
NEW YORK, NY
Past

November 9, 2020 - August 11, 2022

DEER ISLE CAPITAL, LLC

BD
CRD#: 146269
EAST HAMPTON, NY
Past

December 2, 2019 - May 3, 2021

GLEN EAGLE WEALTH, LLC

BD
CRD#: 124504
Kingston, NJ
Past

June 19, 2000 - January 31, 2018

GAGNON SECURITIES, LLC

BD
CRD#: 103727
NEW YORK, NY
Past

January 25, 2000 - September 26, 2000

HERZOG, HEINE, GEDULD, LLC

BD
CRD#: 2186
NEW YORK, NY
Past

July 31, 1997 - January 31, 2000

GILDER GAGNON HOWE & CO. LLC

BD
CRD#: 2002
NEW YORK, NY
Past

August 12, 1996 - August 29, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 26, 1994 - July 17, 1996

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

August 8, 1994 - September 26, 1994

J. GREGORY & COMPANY, INC.

BD
CRD#: 14892

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

RR
Florida
(9/25/2024)
RR
New Jersey
(11/29/2022)
RR
New York
(12/5/2022)
RR
Texas
(9/25/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/7/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/31/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 12/15/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 55
Date: 8/4/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/6/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 12/16/1999
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/17/1999
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/17/1999
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/11/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/1/1999
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KWM SECURITIES LLC
KWM SECURITIES LLC

CRD#: 327258 / SEC#: , 8-71123

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3500 Capital Of Texas Hwy #2332, Austin, TX 78746
Mailing Address
3500 Capital Of Texas Hwy #2332, Austin, TX 78746
Phone number
(201) 474-4011
Established
New Jersey since 04/28/2023
Firm type
Limited Liability Company
Fiscal year end
August
Firm Size
Small
# of Employees

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PRCBD LLCDIRECT OWNER
DUMONT, SUSAN ELIZABETHCHIEF COMPLIANCE OFFICER/CEO2346501
STOUBER, RANDY MARCFINOP, PFO, POO,GSP1104531

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.

Company Information

KWM SECURITIES LLC

CRD#: 327258New York, NY 10019

TRUST BUT VERIFY

Monitor Susan Dumont

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
STRATEGIC ADVISERS LLC
IAR
RR
RIDGEWOOD, NJ
Anita Narendra Srivastava
Anita SrivastavaAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Paramus, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.