Don Dumas is a registered investment advisor, based in Laguna Niguel, CA, with 39 years of industry experience.
Location
28202 Cabot Rd, Suite 300, Laguna Niguel, CA, 92677
Get directionsHistory
Regulatory History (3)
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Customer Dispute
November 2012Settled
Customer Dispute
April 2012Denied
Regulatory
July 2009Final
Other Business ActivitiesSells Insurance
Don officiates sporting events, dedicating a few hours per week. He is also an IAR at TCFG Investment Advisors, LLC and an agent at TCFG Insurance Solutions, LLC.
Employment History
Current Registrations
Tcfg Wealth Management, LLCBroker
June 2020 - Present · 5 yrs 10 mos
Tcfg Investment Advisors, LLC
June 2020 - Present · 5 yrs 10 mos
Previous Registrations
Client One Securities LLC
August 2013 - June 2020 · 6 yrs 10 mos
Client One Securities LLCBroker
May 2013 - June 2020 · 7 yrs 1 mo
Ing Financial Partners, INC.Broker
May 2007 - May 2013 · 6 yrs
Harbour Investments, INC.Broker
May 2005 - April 2007 · 1 yr 11 mos
Mony Securities Corporation
February 2004 - May 2005 · 1 yr 3 mos
Mony Securities CorporationBroker
June 2003 - May 2005 · 1 yr 11 mos
Edward JonesBroker
March 2002 - June 2003 · 1 yr 3 mos
Banc of America Investment Services, INC.Broker
March 2001 - March 2002 · 1 yr
Ing Financial Partners, INC
May 2000 - July 2009 · 9 yrs 2 mos
Liberty Securities CorporationBroker
May 1998 - February 2001 · 2 yrs 9 mos
Titan/value Equities Group, INC.Broker
December 1997 - May 1998 · 5 mos
Sii Investments, INC.Broker
June 1997 - December 1997 · 6 mos
Main Street Management CompanyBroker
April 1995 - June 1997 · 2 yrs 2 mos
Capital Analysts, IncorporatedBroker
June 1993 - April 1995 · 1 yr 10 mos
Pruco Securities CorporationBroker
August 1992 - May 1993 · 9 mos
SharemasterBroker
May 1991 - August 1992 · 1 yr 3 mos
First Affiliated Securities, INC.Broker
July 1990 - February 1991 · 7 mos
Walnut Street Securities, INC.Broker
April 1990 - April 1990 · 0 mos
Walnut Street Securities, INC.Broker
July 1988 - January 1990 · 1 yr 6 mos
Mutual of Omaha Fund Management CompanyBroker
February 1986 - July 1988 · 2 yrs 5 mos
State Registrations4 states
CASCTXWI
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.