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Julien Patrick Dumoulin-smith

Jefferies LLC

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About Julien Patrick Dumoulin-smith

Julien Dumoulin-smith is a financial professional with over 16 years of experience in the financial industry. Julien is currently registered with Jefferies LLC in Houston, Texas. Julien has held previous roles with BOFA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Julien is a Series 7, 24, 63, 86 and 87 licensed professional.

Firm Information

Julien Dumoulin-smith is currently registered with Jefferies LLC. Jefferies LLC is a Limited Liability Company formed on March 1, 2013, operating in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are approved by the SEC and hold active registrations in all 53 jurisdictions.

Not reported

Assets Under Management

Not reported

Total Clients

446

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Julien Dumoulin-smith’s Registration & Firm History

TX

07/08/2024 - Present

Jefferies LLC (HOUSTON TX)

TX

05/10/2019 - 06/25/2024

BOFA SECURITIES, INC. (HOUSTON TX)

NY

08/29/2017 - 05/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

08/30/2007 - 06/23/2017

UBS SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/06/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/23/2022

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/08/2007

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 09/24/2007

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 08/29/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Julien Patrick Dumoulin-smith.
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