Karen M. Dumont
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Karen Mae Dumont, who also goes by Karen Mae Dreifort, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1981. Karen had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2008 - December 31, 2015
INVESTACORP ADVISORY SERVICES INC
June 11, 2007 - December 31, 2015
INVESTACORP, INC.
January 1, 1989 - June 11, 2007
TEMPO SECURITIES CORPORATION
April 13, 1981 - January 1, 1989
KEYBANC CAPITAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTACORP ADVISORY SERVICES INC
CRD#: 109011 / SEC#: 801-57738
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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