BD
Brian S. Dumont
DUMONT WEALTH
Miami, FL
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CRD#: 4737802
BD
Professional summary
Brian Stephen Dumont, who also goes by Brian Dumont, is a registered financial advisor currently at DUMONT WEALTH located in Miami, Florida.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brian has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Dumont
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) Brian Stephen Dumont is the CEO, CCO, and an active agent servicing client insurance needs through Dumont Financial LLC. He offers Life insurance, disability insurance, long term care insurance and health insurance. From time to time, he will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. (2)Efficient Wealth Partners LLC dba Dumont Wealth always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of Efficient Wealth Partners LLC dba Dumont Wealth in their capacity as a licensed insurance agent. 20 hour a month is devoted to this activity during trading hours. 30 hours a month are devoted to this activity outside of trading hours. 70% of his yearly income is derived from this activity. (3) Brian Stephen Dumont is a Trustee of the NYC Chapter Board for the New York League of Conservation Voters This is an environmental political group that promotes green policies and governing in NYC and NYS. They rate candidates, support them or not, and support green legislation. His responsibilities include overseeing the NYC Chapter organization; fundraising and contributing to the organization and its mission. One hour a month is devoted to this activity during trading hours. Two hours a month are devoted to this activity outside of trading hours. He receives no yearly compensation from this activity. One hour a month is devoted to this activity during trading hours. One hour a month are devoted to this activity outside of trading hours. He receives no yearly compensation from this activity. (4) Brian Stephen Dumont is the Co-Founder, President and CEO of an InsurTech startup called Gondola InsurTech Corp, DBA Gondola (website: MySafeTank.com) an insurance agency & technology company founded in 2021. Gondola offers financial & insurance advice related to retail consumer life insurance and other lines of insurance. Gondola is a privately held company. Brian's responsibilities include overseeing the creation of the platform, marketing, a licensed agency, and overall management of the entity. He receives direct compensation from this activity and spends about 40 hours per month, 20 during trading hours in this business. (5) Sand Pond Association LLC; NO; Sanford, ME; Non-profit Lake Association for Environment Protection; Owner & Member; 04/2024; 8/ HRS MO; 0/ HR MO; this is an association dedicated to the preservation and protection of Sand Pond and it's environment.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Stephen Dumont's 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®
NoneExperience
Current
July 23, 2019 - Present
DUMONT WEALTH
RIA
CRD#: 291981
Miami, FL
Past
September 26, 2008 - December 20, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
NEW YORK, NY
Past
January 21, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 21, 2004 - October 6, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NEW YORK, NY
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.Highlighted states indicate IAR registrations
IAR
Florida(12/12/2022)
IAR
New York(1/24/2022)
IAR
Texas(7/23/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DW
DUMONT WEALTH
DUMONT EFFICIENT WEALTH | EFFICIENT WEALTH PARTNERS LLC | EFFICIENT WEALTH FINANCIAL | DUMONT WEALTH
CRD#: 291981 / SEC#: 801-112419
RIA
Registered Investment Advisory firm - (6/14/2019 Terminated)Florida
Registered Investment Advisory firm - (12/12/2022 Approved)New York
Registered Investment Advisory firm - (6/4/2019 Approved)Texas
Registered Investment Advisory firm - (7/22/2019 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Miami, FL
Mailing Address
Phone number
(917) 310-3442
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 29 |
| AUM (Assets Under Management) | $ 11,826,166 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
