Ms. Susan DuMont currently serves as the Chief Compliance Officer for T.R. Winston, responsible for building and maintaining a risked based compliance program for FINRA Member broker-dealers.

Prior to joining T.R. Winston Ms. DuMont served as CCO, CFO and Senior Administrative Officer for a dually registered broker-dealer and Registered Investment Advisor, Gagnon Securities, for 18 years. In this role, she was responsible for managing all of the firm’s compliance activities, financial operations and controls and approved business lines including supervising an agency trading desk and the head trader who transacted in equity securities, options trading, corporate debt, proprietary trading, investment banking activities to private placement of securities, (best efforts and firm commitment), secondary offerings and mergers and acquisitions.

Prior to 2001 Ms. DuMont worked at several broker-dealers including Dean Witter as a compliance and operations professional.

Ms. DuMont maintains the Series 10, 14, 24, 27, 4, 57, 63, 7, 87, and 9 registrations.