Daniel J. Dumoulin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel June Dumoulin, who also goes by Dan Dooley, Dan Dumoulin, Daniel J Dumoulin, Danny Dumoulin, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2016 - June 14, 2018
CADARET, GRANT & CO., INC.
December 22, 2015 - June 14, 2018
CADARET, GRANT & CO., INC.
August 21, 2012 - November 25, 2014
MORGAN STANLEY
August 21, 2012 - November 25, 2014
MORGAN STANLEY
June 26, 2012 - August 10, 2012
LPL FINANCIAL LLC
November 28, 2011 - August 10, 2012
LPL FINANCIAL LLC
December 18, 2007 - November 28, 2011
M&T SECURITIES, INC.
June 14, 2007 - December 31, 2007
HSBC SECURITIES (USA) INC.
January 1, 2005 - December 31, 2007
HSBC SECURITIES (USA) INC.
July 16, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
June 17, 2004 - June 23, 2004
TD AMERITRADE, INC.
June 18, 1999 - June 23, 2004
TD AMERITRADE, INC.
June 13, 1997 - July 15, 1997
ARGENT SECURITIES, INC.
April 22, 1997 - May 14, 1997
LEGEND MERCHANT GROUP, INC.
March 5, 1997 - May 9, 1997
INVESTORS ASSOCIATES, INC.
September 9, 1994 - March 6, 1997
STERLING FOSTER & COMPANY, INC.
August 31, 1994 - May 31, 1995
VISION INVESTMENT GROUP, 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
Exams
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
