Richard D. Dupuis

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CRD#: 809587

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.

Richard Daniel Dupuis, CFP® was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 8 firms and has passed the Series 65, Series 63, PC, Series 5, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

1-ROYAL CAPITAL MANAGEMENT; INVESTMENT RELATED; 4400 N. FEDERAL HWY, BOCA RATON FL 33431; RIA; PRESIDENT; SEPTEMBER 1997; 160 HRS/MONTH; 6.5 HRS/DAY; COMPENSATION-FEE % OF AUM; MANAGE MONEY. 2- APPOINTMENT WITH MULTIPLE CARRIERS; INVESTMENT RELATED; 4400 N. FEDERAL HWY, BOCA RATON FL 33431; LIFE AND ANNUITIES; AGENT; 1975; 10 HRS/MONTH; � HR/DAY; COMPENSATION-COMMISSIONS; COMPARE AND SELECT MOST COMPETITIVE INSURANCE PRODUCTS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Past

January 3, 2023 - January 2, 2025

EATON FINANCIAL GROUP

RIA

CRD#: 316323

CORAL SPRINGS, FL

Past

August 3, 2001 - December 31, 2012

TRIAD ADVISORS LLC

CRD#: 25803

BOCA RATON, FL

Past

June 18, 1997 - February 13, 2023

ROYAL CAPITAL MANAGEMENT LLC

RIA

CRD#: 139910

BOCA RATON, FL

Past

December 1, 1994 - August 6, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

January 3, 1994 - December 31, 1994

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

September 3, 1987 - January 3, 1994

JW GENESIS CLEARING CORP.

CRD#: 6631

BOCA RATON, FL

Past

February 24, 1978 - September 11, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

Past

July 1, 1975 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

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".

EATON FINANCIAL GROUP

401K SIMPLIFIED | ROYAL CAPITAL MANAGEMENT LLC | PALM WEALTH PARTNERS | EATON FINANCIAL HOLDINGS COMPANY, LLC | EATON FINANCIAL GROUP

CRD#: 316323 / SEC#: 801-122301

RIA

Registered Investment Advisory firm - (9/13/2021 Approved)

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.

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: 5/10/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/15/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 5/6/1992

AMEX Put and Call Exam

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 6/21/1975

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/1995

General Securities Principal Examination

Current Firm

EATON FINANCIAL GROUP

401K SIMPLIFIED | ROYAL CAPITAL MANAGEMENT LLC | PALM WEALTH PARTNERS | EATON FINANCIAL HOLDINGS COMPANY, LLC | EATON FINANCIAL GROUP

CRD#: 316323 / SEC#: 801-122301

RIA

Registered Investment Advisory firm - (9/13/2021 Approved)

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Contact information

Main Address

11555 Heron Bay Boulevard Suite 200, Coral Springs, FL 33076

Mailing Address

Phone number

(954) 575-9323

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EATON FINANCIAL GROUP ADV BROCHURE (4/2/2025)

Regulatory assets under management

Total Number of Accounts	1,283
AUM (Assets Under Management)	$ 389,074,886

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Richard D. Dupuis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRIAD ADVISORS LLC

ROYAL CAPITAL MANAGEMENT LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JWGENESIS SECURITIES, INC.

JW GENESIS CLEARING CORP.

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

Primary Firm SEC Registration

EATON FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/1996

Series 63

Date: 4/15/1985

PC

Date: 5/6/1992

Series 5

Date: 12/11/1982

Series 7

Date: 6/21/1975

Series 24

Date: 12/15/1995

Current Firm

EATON FINANCIAL GROUP

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EATON FINANCIAL GROUP

TRUST BUT VERIFY

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