Keith C. Cuomo

DUNBAR ASSOCIATES

Monroe, CT 06468

Some features on this profile are disabled

CRD#: 2587130

Professional summary

Keith Christian Cuomo, who also goes by Keith Christian Cuomo, is a registered financial advisor currently at DUNBAR ASSOCIATES, LLC located in Monroe, Connecticut and CHELSEA FINANCIAL SERVICES located in Staten Island, New York.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Keith has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 62, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith Christian Cuomo

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.

1). Dunbar Associates LLC, 71 Turkey Roost Rd., Monroe CT 06468; Investment Related. Registered Investment Advisor - Start Date: 02/2025, Approx. 40 Hrs./Month and 8 Hrs. during market hours. Interacting with clients and managing the accounts; investment advisory fees earned. 2). Life Brokerage, 2 Central Avenue, Suite 1, Hammonton, NJ 08037. Investment related. Insurance Brokers - Start Date: 04/2024, Approx. 20 Hrs/Month, and 0 Hrs during market hours. Broker and write non-securities insurance products; commissions earned, 3). Risk & Insurance, 6 Corporate Drive, Suite 503, Shelton, CT 06484. Investment related. Insurance brokers - Start Date: 04/2024, Approx. 20 Hrs/Month and 0 Hrs. during market hours. Broker and write non-securities insurance products; commissions earned.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Christian Cuomo'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

February 1, 2023 - Present

DUNBAR ASSOCIATES, LLC

Office #1: 71 Turkey Roost Road, Monroe, CT 06468

RIA

CRD#: 323134

Monroe, CT

Current

January 2, 2025 - Present

CHELSEA FINANCIAL SERVICES

Office #1: 242 Main Street, Staten Island, NY 10307

CRD#: 47770

Staten Island, NY

Past

October 17, 2024 - January 14, 2025

QUINT CAPITAL CORPORATION

CRD#: 26586

NEW YORK, NY

Past

February 8, 2023 - October 10, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Monroe, CT

Past

June 14, 2021 - February 2, 2023

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

MELVILLE, NY

Past

September 17, 2015 - February 2, 2023

MML INVESTORS SERVICES, LLC

CRD#: 10409

MELVILLE, NY

Past

February 24, 2015 - September 16, 2015

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

WESTBURY, NY

Past

May 4, 2012 - September 16, 2015

PARK AVENUE SECURITIES LLC

CRD#: 46173

WESTBURY, NY

Past

December 5, 1995 - September 18, 1996

SCHONFELD SECURITIES, LLC

CRD#: 23304

JERICHO, NY

Past

February 23, 1995 - May 19, 1995

A. R. BARON & CO., INC.

CRD#: 29285

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DUNBAR ASSOCIATES, LLC

CRD#: 323134 / SEC#: 801-126791

RIA

Registered Investment Advisory firm - (10/27/2022 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(1/2/2025)

IAR

Connecticut
(2/1/2023)

Connecticut
(1/2/2025)

District of Columbia
(1/2/2025)

Florida
(1/2/2025)

Illinois
(3/18/2025)

Massachusetts
(1/6/2025)

New Jersey
(1/3/2025)

New York
(1/2/2025)

North Carolina
(2/3/2025)

Pennsylvania
(1/2/2025)

South Carolina
(1/2/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/10/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/23/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 2/8/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 4/19/2017

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 5/3/2012

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 2/22/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

DUNBAR ASSOCIATES, LLC

CRD#: 323134 / SEC#: 801-126791

RIA

Registered Investment Advisory firm - (10/27/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

71 Turkey Roost Road, Monroe, CT 06468

Mailing Address

Phone number

(203) 880-5716

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DUNBAR ASSOCIATES DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/7/2025)

Regulatory assets under management

Total Number of Accounts	302
AUM (Assets Under Management)	$ 267,053,000

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.

Similar Advisors

Donald Henry

CITIGROUP GLOBAL MARKETS INC.

IAR

Norwalk, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Keith C. Cuomo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Christian Cuomo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHELSEA FINANCIAL SERVICES

QUINT CAPITAL CORPORATION

PURSHE KAPLAN STERLING INVESTMENTS

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

SCHONFELD SECURITIES, LLC

A. R. BARON & CO., INC.

Primary Firm SEC Registration

DUNBAR ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/2014

Series 63

Date: 5/23/2012

Series 99TO

Date: 2/8/2023

SIE

Date: 10/1/2018

Series 62

Date: 4/19/2017

Series 6

Date: 5/3/2012

Series 7

Date: 2/22/1995

FINRA

Current Firm

DUNBAR ASSOCIATES, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DUNBAR ASSOCIATES, LLC

TRUST BUT VERIFY

Similar Advisors