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MD

Matthew J. Dumser

CAPE SECURITIES
FLOURTOWN, PA 19031
Some features on this profile are disabled
CRD#: 5401527
MD

Professional summary

Matthew Joseph Dumser is a registered financial professional currently at CAPE SECURITIES INC. located in Flourtown, Pennsylvania.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2007. Matthew has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Matthew Joseph Dumser'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

May 2, 2024 - Present

CAPE SECURITIES INC.

Office #1: 1407 Bethlehem Pike , Flourtown, PA 19031
BD
CRD#: 7072
FLOURTOWN, PA
Past

January 9, 2017 - April 24, 2024

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

May 19, 2016 - January 9, 2017

THE ROCKWELL FINANCIAL GROUP, INC.

BD
CRD#: 26153
HICKSVILLE, NY
Past

November 12, 2014 - April 27, 2016

CALDWELL INTERNATIONAL SECURITIES

BD
CRD#: 104323
New York, NY
Past

March 28, 2011 - October 29, 2014

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY
Past

August 29, 2007 - July 17, 2008

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(5/2/2024)
RR
New York
(5/2/2024)
RR
Pennsylvania
(5/2/2024)
RR
Tennessee
(5/2/2024)
RR
Texas
(5/2/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/21/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/11/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPE SECURITIES INC.
CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

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

Main Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Mailing Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Phone number
(678) 583-1120
Established
North Carolina since 02/23/1976
Firm type
Corporation
Fiscal year end
September
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#
BACHMANN, KEVIN SCOTTPRESIDENT1406637
CIANTRO, PHILIPCCO2350685
CIANTRO, PHILIPFINOP2350685
JOKELA, JOHN KEVINCOO5474831

Disclosures

Regulatory Event2
Arbitration1

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

CAPE SECURITIES INC.

CRD#: 7072Flourtown, PA 19031

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