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Kevin C Dufault

Investment Adviser Representative at STRATOS WEALTH ADVISORS LLC

Rockland, MACRD #6361806Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
12 yrs
States Registered
1 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Massachusetts
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 10/31/2014
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/18/2014

Approximate fees

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

Primary fee model
Assets Under Management (AUM)
Account minimum: $10,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

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

Employment history

Registration history as reported to FINRA, most recent first.

STRATOS WEALTH ADVISORS LLCCurrent
4/26/2019Rockland, MA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
11/3/20144/29/2019Hingham, MA

Official records & sources

Data as of August 9, 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. Kevin C Dufault 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.

Kevin C Dufault - Financial Advisor in Rockland, MA | AdvisorFinder