KD
Keith D. Dumas
SPC
Bridgeport, WV 26330
Some features on this profile are disabled
CRD#: 4622867
KD
Professional summary
Keith David Dumas, AIF® is a registered financial advisor currently at SPC located in Bridgeport, West Virginia and PARKLAND SECURITIES, LLC located in Bridgeport, West Virginia.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Keith has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. PREMIER BENEFITS GROUP LLC DBA PEAK CAPITAL GROUP LLC, 440 E MAIN ST, STE 106, BRIDGEPORT, WV, 6/2007 AS OWNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 10/WK - 5/TRADING. 2.PEAK WEALTH MANAGEMENT LLC, 440 E MAIN ST, STE 106, BRIDGEPORT, WV, 5/2018 AS OWNER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME. NIR - 0 HRS. 3. As an independently licensed insurance agent, I am appointed with various insurance companies. 4. Head coach of soccer team, Harrison County Schools, Clarksburg, WV. Coaching high school children to play soccer. Seasonal position that runs from August 1st through November 1st. Start date: 8/1/25, approx. 40 hrs/mo with minimal time spent during mkt hrs. INV REL: N; no access to funds.
CRS (Client Relationship Summary) - RIA
Click below to view Keith David Dumas's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
June 14, 2019 - Present
SPC
Office #1: 205 Orchard Ave., Bridgeport, WV 26330RIA
CRD#: 110692
Bridgeport, WV
Current
June 14, 2019 - Present
PARKLAND SECURITIES, LLC
Office #1: 205 Orchard Ave, Bridgeport, WV 26330BD
CRD#: 115368
Bridgeport, WV
Past
June 2, 2014 - June 25, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Brigeport, WV
Past
May 23, 2014 - June 25, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Bridgeport, WV
Past
October 6, 2009 - May 23, 2014
SPC
RIA
CRD#: 110692
CLARKSBURG, WV
Past
June 12, 2009 - May 23, 2014
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
CLARKSBURG, WV
Past
December 17, 2007 - June 16, 2009
FSC SECURITIES CORPORATION
BD
CRD#: 7461
CLARKSBURG, WV
Past
January 14, 2007 - June 16, 2009
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
CLARKSBURG, WV
Past
March 24, 2003 - May 27, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CHARLOTTE, NC
Past
March 10, 2003 - May 27, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 10, 2003 - May 27, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(11/14/2023)
RR
Georgia(6/14/2019)
RR
Massachusetts(5/18/2023)
RR
North Carolina(5/18/2023)
RR
Pennsylvania(3/28/2025)
RR
South Carolina(9/29/2021)
RR
Virginia(6/14/2019)
RR
West Virginia(6/14/2019)
IAR
West Virginia(6/18/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SPC
CRD#: 110692Bridgeport, WV 26330TRUST BUT VERIFY
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