Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marshall? Claim Your ProfileMarshall Dumont is a financial advisor with over 38 years of experience in the industry. Marshall has worked for several firms, including Merrill Lynch, Pierce, Fenner & Smith Inc., Ameriprise Financial Services, Inc., and UBS Financial Services Inc. Marshall has a wide range of experience and expertise in financial planning and investment management. Marshall is currently registered as a Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in New York and Texas.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
01/02/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
05/04/2012 - 12/12/2018
AMERIPRISE FINANCIAL SERVICES, INC. (MITCHEL FIELD NY)
NY
12/21/2010 - 05/07/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HEWLETT NY)
NJ
07/08/2008 - 03/19/2010
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
03/22/2007 - 07/11/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GARDEN CITY NY)
NY
12/17/2004 - 03/22/2007
RYAN BECK & CO. (HEWLETT NY)
NY
11/28/2003 - 12/17/2004
NORTHEAST SECURITIES, INC. (MITCHELFIELD NY)
MO
07/01/2003 - 10/20/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
10/02/1991 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
04/18/1985 - 10/07/1991
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
04/09/1985 - 04/10/1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
NA
06/22/1983 - 04/04/1985
THOMSON MCKINNON SECURITIES INC.
IA
Issued 11/13/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/01/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/11/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/1995
Series 3 - National Commodity Futures Examination
BC
Issued 05/01/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 06/18/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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