Ian P. Dumont
Professional summary
Ian Paul Dumont is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Garden City, New York.
Ian is registered as a RR (Registered Representative) and started their career in finance in 1997. Ian has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ian Paul Dumont's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 24, 2016 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 900 Stewart Avenue Suite 510, Garden City, NY 11530-4933February 24, 2016 - November 23, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
March 25, 2010 - January 28, 2016
AEGIS CAPITAL CORP.
May 24, 2005 - March 31, 2010
GUNNALLEN FINANCIAL, INC
January 3, 2003 - May 5, 2005
NATIONAL SECURITIES CORPORATION
February 4, 1999 - February 9, 2001
SOLID ISG CAPITAL MARKETS, LLC
June 9, 1998 - February 2, 1999
FIRST LIBERTY INVESTMENT GROUP, INC.
June 30, 1997 - November 18, 1997
SHARPE CAPITAL, INC.
May 9, 1997 - July 14, 1997
PRIME CHARTER LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/4/2016)
Exams
FINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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