Herminia C. Sitter

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CRD#: 1247589

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Herminia Cortez Sitter, who also goes by Herminia Cortez, Herminia Cortez Deneau, was a registered financial professional .

Herminia is a previously registered financial professional and started their career in finance in 1988. Herminia had worked at 8 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Herminia Cortez | Herminia Cortez Deneau

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MADIRAEWAY LLC POSITION: Member NATURE: Pass through entiity for funds paid from the sale of water to Fracking companies. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 123 BONNIE RIDGE CIRCLE, SHENANDOAH TX 77382, United States DESCRIPTION: Funds are paid to MadiRaeWay, LLC to which I distribute, 1% and 3% to 2 other members when distributions are made by Cameron Lane Frac Water LLC. Distributions are not consistent. LINCOLN FINANCIAL GROUP POSITION: AGENT NATURE: I RECEIVE $2.16 PER MONTH DIRECT DEPOSITED INTO MY CHECKING ACCOUNT FOR TRAILS ON MY PERSONAL VARIABLE LIFE INSURANCE POLICY THAT I SECURED WITH LINCOLN FINANCIAL IN MAY OF 2007. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2007 ADDRESS: 123 BONNIE RIDGE CIRCLE, SHENANDOAH TX 77385, United States DESCRIPTION: NONE.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 21, 2018 - September 30, 2024

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Shenandoah, TX

Past

February 21, 2018 - September 30, 2024

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Shenandoah, TX

Past

September 10, 2005 - June 5, 2017

CAPITAL FINANCIAL SERVICES, INC.

RIA

CRD#: 8408

THE WOODLANDS, TX

Past

September 10, 2005 - June 5, 2017

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

THE WOODLANDS, TX

Past

February 10, 2004 - September 9, 2005

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

SPRING, TX

Past

July 1, 2002 - September 9, 2005

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

May 23, 2002 - July 1, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

Past

March 23, 1994 - January 14, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 23, 1991 - February 17, 1994

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

June 13, 1989 - November 16, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 19, 1988 - May 26, 1989

ROTAN MOSLE INC.

CRD#: 727

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/19/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/1/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/2002

General Securities Representative Examination

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Herminia C. Sitter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

CAPITAL FINANCIAL SERVICES, INC.

CAPITAL FINANCIAL SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AVANTAX INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ROTAN MOSLE INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2003

Series 63

Date: 4/1/2002

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/22/2002

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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