Brian S. Dumont

DUMONT WEALTH

Miami, FL

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CRD#: 4737802

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Current

July 23, 2019 - Present

DUMONT WEALTH

RIA

CRD#: 291981

Miami, FL

Past

September 26, 2008 - December 20, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

NEW YORK, NY

Past

January 21, 2004 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 21, 2004 - October 6, 2008

MSI FINANCIAL SERVICES, INC.

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)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/25/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/30/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/7/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/19/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 11,826,166

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.

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Brian S. Dumont

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Stephen Dumont's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUMONT WEALTH

CAMBRIDGE INVESTMENT RESEARCH, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/25/2019

Series 63

Date: 1/30/2004

SIE

Date: 12/20/2017

Series 7

Date: 5/7/2013

Series 6

Date: 1/19/2004

Current Firm

DUMONT WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DUMONT WEALTH

TRUST BUT VERIFY

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