Marshall Ira Dumont

CRD 1127022 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: M I Dumont; Marshall I Dumont; Marshall Dumont

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 65Series 63Series 10Series 9Series 8SIESeries 3Series 15Series 7
Registered states (12): California · Colorado · Connecticut · District Of Columbia · Florida · Maryland · Michigan · Montana · New Jersey · New York · Ohio · Texas
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1127022 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (14)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

Jan 2, 2019 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Ameriprise Financial Services, Inc.
IA capacity

May 16, 2012 → Dec 12, 2018
Ameriprise Financial Services, Inc.
BD capacity

May 4, 2012 → Dec 12, 2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Dec 21, 2010 → May 7, 2012
Ubs Financial Services Inc.
BD capacity

Jul 8, 2008 → Mar 19, 2010
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Mar 22, 2007 → Jul 11, 2008
Ryan Beck & Co.
BD capacity

Dec 17, 2004 → Mar 22, 2007
Northeast Securities, Inc.
BD capacity

Nov 28, 2003 → Dec 17, 2004
Wachovia Securities, LLC
BD capacity

Jul 1, 2003 → Oct 20, 2003
Prudential Securities Incorporated
BD capacity

Oct 2, 1991 → Jul 1, 2003
Painewebber Incorporated
BD capacity

Apr 18, 1985 → Oct 7, 1991
Bevill, Bresler & Schulman Incorporated
BD capacity

Apr 9, 1985 → Apr 10, 1985
Thomson Mckinnon Securities Inc.
BD capacity

Jun 22, 1983 → Apr 4, 1985

Source & corrections

Where this page comes from

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