Thomas DumasCRD Number: 4465376
Current Firm: Park Avenue Securities LLC
Thomas Dumas (CRD# 4465376) is an Investment Advisor Representative working at Park Avenue Securities LLC in Charlotte, NC and has over 16 years of experience in the finance industry. Thomas Dumas has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Park Avenue Securities||Charlotte, NC||Oct 2001 - Current||16|
|Guardian Life Insurance Company||Charlotte, NC||Aug 2001 - Current||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2001|
|S66||NASAA Uniform Combined State Law Examination||Sep 2004|
Total Assets Under Management6,646MILLIONS
Total Number of Accounts39,311ACCOUNTS
Average Account Value$169,065
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV