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Don M Dumas

Investment Adviser Representative at TCFG INVESTMENT ADVISORS, LLC

Green Bay, WICRD #1458645Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
40 yrs
States Registered
4 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 4 states
CaliforniaSouth CarolinaTexasWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 8/1/2013
Series 65
Uniform Investment Adviser Law Examination
Passed 9/9/1998
Series 63
Uniform Securities Agent State Law Examination
Passed 1/25/1986
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/9/1999
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 1/30/1986

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 to $249,9992.00%
$250,000 to $499,9991.75%
$500,000 to $1,000,0001.50%
$1,000,000 and up1.00%
Source

TCFG Investment Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

TCFG INVESTMENT ADVISORS, LLCCurrent
6/5/2020Green Bay, WI
CLIENT ONE SECURITIES LLC
8/2/20136/5/2020Green Bay, WI
ING FINANCIAL PARTNERS, INC
5/17/20007/29/2009Green Bay, WI
MONY SECURITIES CORPORATION
2/10/20045/20/2005Citrus Height, CA

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Don M Dumas has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Don M Dumas - Financial Advisor in Green Bay, WI | AdvisorFinder