Ervin Dumond, financial advisor Chicago IL
83 score

Ervin Dumond

CRD Number: 1071438
Current Firm: Bankers Life Advisory Services, Inc.

Ervin Dumond (CRD# 1071438) is an Investment Advisor Representative working at Bankers Life Advisory Services, Inc. in Chicago, IL and has over 16 years of experience in the finance industry.

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Company Name Location Dates Years
Bankers Life Securities, Inc. Bangor, ME May 2016 - Current < 1
Proequities, Inc. Bangor, ME Jun 2010 - Current 6
Bankers Life And Casualty Company Bangor, ME Mar 2007 - Current 9
Uvest Financial Services Group Inc. Charlotte, NC Apr 2007 - Apr 2009 2
Unemployed Bangor, ME Aug 2006 - Feb 2007 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2003
S65 NASAA Investment Advisors Law Examination Nov 2000
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Ervin P. Dumond
Phone Number: (312) 396-7654
Registered State(s):
  • ME
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA, CT, DE, FL, GA, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MO, NC, NE, NH, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WV

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BADGES
83

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