Shaun M. Dumaine

KESTRA ADVISORY SERVICES

Austin, TX 78735

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CRD#: 5760059

Professional summary

Shaun Michael Dumaine, who also goes by Shaun Michael Dumaine, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.

Shaun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Shaun has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shaun Michael 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.

name: OUTBACK STEAKHOUSE INV REL: N ADD: 11600 RESEARCH BLVD., AUSTIN TX 78759 NATURE: RESTAURANT/BAR WORK POSITION: SERVER START DATE: 10/01/2020 No. HR/MO: 120 No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: SERVING FOOD AND DRINKS TO RESTAURANT CLIENTELE name: SHAUN DUMAINE POSITION: Server/Bartender NATURE: Restaurant INVESTMENT RELATED: No # OF HOURS: 60 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2020 ADDRESS: 11600 Research Blvd., Austin TX 78759 DESCRIPTION: Serving guest food and drinks. Name: DOORDASH POSITION: Delivery Driver NATURE: Delivery Service INVESTMENT RELATED: No # OF HOURS: 60 SECURITIES TRADING HOURS: 0 START DATE: 07/08/2025 ADDRESS: 8003 South IH 35, Apt. 2423, Austin TX 78744, United States DESCRIPTION: Delivering food and grocery items to customers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shaun Michael 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

July 3, 2023 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

RIA

CRD#: 283330

Austin, TX

Current

July 1, 2022 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

CRD#: 42046

Austin, TX

Past

September 30, 2020 - January 11, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Austin, TX

Past

September 30, 2020 - January 11, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

Austin, TX

Past

June 18, 2015 - July 27, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LINCOLN, RI

Past

April 7, 2015 - July 27, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LINCOLN, RI

Past

December 5, 2012 - November 25, 2014

SCOTTRADE, INC.

CRD#: 8206

WATERFORD, CT

Past

May 14, 2010 - November 15, 2012

CHARLES SCHWAB & CO., INC.

CRD#: 5393

INDIANAPOLIS, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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.

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

Texas
(7/1/2022)

IAR

Texas
(7/3/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/18/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/2/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/13/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Shaun M. Dumaine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shaun Michael Dumaine's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SCOTTRADE, INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/18/2015

Series 63

Date: 8/2/2010

SIE

Date: 10/1/2018

Series 7

Date: 5/13/2010

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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