Susan E. Dumont

DELPHX SERVICES

Somerset, NJ 08873

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CRD#: 2346501

Professional summary

Susan Elizabeth Dumont, who also goes by Susan Elizabeth Grant, is a registered financial professional currently at DELPHX SERVICES CORPORATION located in Somerset, New Jersey 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"?

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: 265 Davidson Avenue, Suite 210, Somerset, NJ 08873

CRD#: 141368

Somerset, NJ

Current

September 25, 2024 - Present

ENCLAVE CAPITAL LLC

Office #1: 301 Yamato Road Suite 2198, Boca Raton, FL 33431

CRD#: 22732

Boca Raton, FL

Current

April 29, 2025 - Present

KWM SECURITIES LLC

CRD#: 327258

Austin, TX

Past

January 10, 2023 - July 28, 2025

GREAT PINE INVESTMENTS LLC

CRD#: 31538

MIAMI, FL

Past

October 21, 2022 - May 3, 2024

ENCLAVE CAPITAL LLC

CRD#: 22732

BOCA RATON, FL

Past

June 24, 2022 - August 22, 2022

ENIGMA SECURITIES INC.

CRD#: 306183

New York, NY

Past

November 12, 2021 - November 3, 2023

CHURCHILL CAPITAL USA, INC.

CRD#: 143278

NEW YORK, NY

Past

November 9, 2020 - August 11, 2022

DEER ISLE CAPITAL, LLC

CRD#: 146269

EAST HAMPTON, NY

Past

December 2, 2019 - May 3, 2021

GLEN EAGLE WEALTH, LLC

CRD#: 124504

Kingston, NJ

Past

June 19, 2000 - January 31, 2018

GAGNON SECURITIES, LLC

CRD#: 103727

NEW YORK, NY

Past

January 25, 2000 - September 26, 2000

HERZOG, HEINE, GEDULD, LLC

CRD#: 2186

NEW YORK, NY

Past

July 31, 1997 - January 31, 2000

GILDER GAGNON HOWE & CO. LLC

CRD#: 2002

NEW YORK, NY

Past

August 12, 1996 - August 29, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 26, 1994 - July 17, 1996

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

August 8, 1994 - September 26, 1994

J. GREGORY & COMPANY, INC.

CRD#: 14892

State Registrations and Notice Filings

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

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

Florida
(9/25/2024)

New Jersey
(11/29/2022)

New York
(12/5/2022)

Texas
(9/25/2024)

Exams

State Security Law Exam

Series 63

Date: 5/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 12/15/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 8/4/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/6/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 14

Date: 12/16/1999

Compliance Officer Examination

Principal/Supervisory Exam

Series 10

Date: 11/17/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/17/1999

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 11/11/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 11/1/1999

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

KWM SECURITIES LLC

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

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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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

Name	Position	CRD#
KOLINSKY ENTERPRISES LLC	SOLE MEMBER
DUMONT, SUSAN ELIZABETH	CHIEF COMPLIANCE OFFICER/CEO	2346501
STOUBER, RANDY MARC	FINOP, PFO, POO,GSP	1104531

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Susan E. Dumont

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan Elizabeth Dumont's CRS (Customer Relationship Summary).

Certified licenses

Experience

ENCLAVE CAPITAL LLC

KWM SECURITIES LLC

GREAT PINE INVESTMENTS LLC

ENCLAVE CAPITAL LLC

ENIGMA SECURITIES INC.

CHURCHILL CAPITAL USA, INC.

DEER ISLE CAPITAL, LLC

GLEN EAGLE WEALTH, LLC

GAGNON SECURITIES, LLC

HERZOG, HEINE, GEDULD, LLC

GILDER GAGNON HOWE & CO. LLC

MORGAN STANLEY DW INC.

WINDSOR STREET CAPITAL, LP

J. GREGORY & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/7/1993

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 1/31/2018

Series 87

Date: 12/15/2006

Series 55

Date: 8/4/2000

Series 7

Date: 8/6/1994

Series 24

Date: 1/2/2023

Series 14

Date: 12/16/1999

Series 10

Date: 11/17/1999

Series 9

Date: 11/17/1999

Series 4

Date: 11/11/1999

Series 27

Date: 11/1/1999

FINRA

Current Firm

KWM SECURITIES LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

KWM SECURITIES LLC

TRUST BUT VERIFY

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