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PD

Paul H. Dumaine

LADENBURG THALMANN & CO.
Melville, NY 11747
Some features on this profile are disabled
CRD#: 5236639
PD

Professional summary

Paul H Dumaine, who also goes by Paul Dumaine, is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in Melville, New York.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2012. Paul has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Dumaine

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) - BD

Click below to view Paul H Dumaine'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

March 13, 2013 - Present

LADENBURG THALMANN & CO. INC.

Office #1: 58 South Service Road Suite 160, Melville, NY 11747
BD
CRD#: 505
Melville, NY
Past

May 4, 2012 - January 11, 2013

UNITED CAPITAL MARKETS, INC.

BD
CRD#: 40980
MIAMI, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 5/3/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC. | LADENBURG, THALMANN & CO., INC.

CRD#: 505 / SEC#: , 8-17230

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
640 5th Avenue 4th Floor, New York, NY 10019
Mailing Address
640 5th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 409-2000
Established
Delaware since 12/03/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OSAIC HOLDINGS, INC.OWNER
BLANCATO, PHILIP SALVATOREEXECUTIVE VICE PRESIDENT, DIRECTOR2122221
GIDEON, MICHAEL RDIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER5315304
GIOVANNIELLO, JOSEPHSVP/GENERAL COUNSEL/ASSISTANT SECRETARY3086071
MITCHELL, CHRISTOPHER MILLSTREASURER AND FINANCIAL OPERATIONS PRINCIPAL2420144
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS2627931
SPATOLA, BRIAN MICHAELCHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL2773548
STEINER, BARRY EVANDIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR2775629

Disclosures

Regulatory Event36
Arbitration14

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.

Company Information

LADENBURG THALMANN & CO. INC.

LADENBURG THALMANN & CO. INC.

CRD#: 505Melville, NY 11747

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