Susan E. Dumont
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 15 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.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Elizabeth Dumont's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 17, 2022 - Present
DELPHX SERVICES CORPORATION
Office #1: 57 West 57th 4th Floor, New York, NY 10019September 25, 2024 - Present
ENCLAVE CAPITAL LLC
Office #1: 301 Yamato Road Suite 2198, Boca Raton, FL 33431April 29, 2025 - Present
KWM SECURITIES LLC
June 18, 2026 - Present
T.R. WINSTON & COMPANY, LLC
Office #1: 376 Main Street, Bedminster, NJ 07921-2613January 10, 2023 - July 28, 2025
GREAT PINE INVESTMENTS LLC
October 21, 2022 - May 3, 2024
ENCLAVE CAPITAL LLC
June 24, 2022 - August 22, 2022
ENIGMA SECURITIES INC.
November 12, 2021 - November 3, 2023
CHURCHILL CAPITAL USA, INC.
November 9, 2020 - August 11, 2022
DEER ISLE CAPITAL, LLC
December 2, 2019 - May 3, 2021
GLEN EAGLE WEALTH, LLC
June 19, 2000 - January 31, 2018
GAGNON SECURITIES, LLC
January 25, 2000 - September 26, 2000
HERZOG, HEINE, GEDULD, LLC
July 31, 1997 - January 31, 2000
GILDER GAGNON HOWE & CO. LLC
August 12, 1996 - August 29, 1997
MORGAN STANLEY DW INC.
September 26, 1994 - July 17, 1996
WINDSOR STREET CAPITAL, LP
August 8, 1994 - September 26, 1994
J. GREGORY & COMPANY, 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
(9/25/2024)
(11/29/2022)
(12/5/2022)
(9/25/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/4/2000
Limited Representative-Equity Trader ExamFINRA
FINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
T.R. WINSTON & COMPANY, LLC
CRD#: 10571 / SEC#: , 8-27519
Contact information
FINRA licenses (51 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, CHIEF COMPLIANCE OFFICER | 2121440 |
| HEMEDES, STEPHEN NATHANIEL | MUNICIPAL PRINCIPAL AND HEAD TRADER | 6870830 |
| SANCIO, GALE ANN | ASSISTANT SECRETARY, ROSFP | 1121258 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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