Keith Cuomo
Professional Summary
Keith 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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Keith Christian Cuomo
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
31 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
DUNBAR ASSOCIATES, LLC
Contact Information
Main Address
Monroe, CTPhone Number
(203) 880-5716# of Employees
3SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
312AUM (Assets Under Management)
$307,487,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
DUNBAR ASSOCIATES, LLC
State Registrations and Notice Filings
(1/2/2025)
(2/1/2023)
(1/2/2025)
(1/2/2025)
(1/2/2025)
(3/18/2025)
(1/6/2025)
(1/3/2025)
(1/2/2025)
(2/3/2025)
(1/2/2025)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Apr 2017Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 2012About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Keith Cuomo's CRS (Customer Relationship Summary).
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