Susan Dumont has been Chief Compliance Officer of AEM Asset Management since October 2020, is not listed as a control person, but directly owns under 5% of the firm.
Aem Asset Management, LLC is a Somerset, NJ firm with $118M under management, 45 clients and 2 advisers across 2 offices, as of its March 2026 filing.
No adviser firm registrations are on Susan Dumont’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 15 December 2006 |
| Series 55 | Limited Representative-Equity Trader Exam | 4 August 2000 |
| Series 14 | Compliance Officer Examination | 16 December 1999 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 17 November 1999 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 17 November 1999 |
| Series 4 | Registered Options Principal Examination | 11 November 1999 |
| Series 27 | Financial and Operations Principal Examination | 1 November 1999 |
| Series 7 | General Securities Representative Examination | 6 August 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 May 1993 |
- Name
- General Securities Principal Examination
- Name
- Securities Trader Exam
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- Limited Representative-Equity Trader Exam
- Name
- Compliance Officer Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Registered Options Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Susan Elizabeth Dumont
- CRD
- 2346501
- Firm
- AEM Asset Management · CRD 310360
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Susan Dumont work?
Susan Dumont has been Chief Compliance Officer of Aem Asset Management, LLC since October 2020.
Does Susan Dumont have a current investment-adviser registration?
Susan Dumont has a current broker registration and no current investment-adviser registration.
What exams has Susan Dumont passed?
Susan Dumont has passed 12 licensing exams: the Series 63, Series 7, Series 27, Series 4, Series 10, Series 9, Series 14, Series 55, Series 87, Series 24, Series 57TO and Series 99TO. The earliest, the Series 63, was passed in May 1993. FINRA credited Susan Dumont with the SIE, which began in October 2018.
Is Susan Dumont registered with FINRA?
Yes. Susan Dumont has a current broker registration, under CRD 2346501.
Source: FINRA BrokerCheck
How can I verify Susan Dumont’s record?
Search CRD 2346501 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Susan Dumont’s full registration record.