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JD

Jennifer L. Dumont

CETERA INVESTMENT SERVICES LLC
ALBANY, GA 31707
Some features on this profile are disabled
CRD#: 5376913
JD

Professional summary

Jennifer L Dumont, who also goes by Jennifer Dumont, Jennifer L Satterfield, Jennifer Lyna Satterfield, Jennifer Satterfield, Jenny Lyna Satterfield, Jenny Satterfield, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Albany, Georgia.

Jennifer is registered as a RR (Registered Representative) and started their career in finance in 2007. Jennifer has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jennifer Dumont | Jennifer L Satterfield | Jennifer Lyna Satterfield | Jennifer Satterfield | Jenny Lyna Satterfield | Jenny Satterfield

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jennifer L Dumont's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 24, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2813 Old Dawson Rd, Albany, GA 31707
BD
CRD#: 15340
ALBANY, GA
Past

October 24, 2011 - May 15, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAVANNAH, GA
Past

October 19, 2011 - May 15, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAVANNAH, GA
Past

October 8, 2010 - October 1, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SAVANNAH, GA
Past

October 8, 2010 - October 1, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SAVANNAH, GA
Past

June 17, 2009 - June 23, 2010

MORGAN STANLEY

RIA
CRD#: 149777
SAVANNAH, GA
Past

June 15, 2009 - June 23, 2010

MORGAN STANLEY

BD
CRD#: 149777
SAVANNAH, GA
Past

January 16, 2008 - May 11, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
ATLANTA, GA
Past

January 11, 2008 - May 11, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
ATLANTA, GA
Past

August 30, 2007 - December 12, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ATLANTA, GA
Past

August 13, 2007 - December 12, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
ATLANTA, GA

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/28/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/24/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/11/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS

CRD#: 15340 / SEC#: 801-45573, 8-31826

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV 2A AND APPENDIX 1 (10/9/2013)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
CASEY, SEAN PATRICKVICE PRESIDENT2156290
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
FRIES, MATTHEW NEIL KALANIVICE PRESIDENT2723824
GOK, LISA ANNESECRETARY5059738
HANAU, JENNIFER LEIGHVICE PRESIDENT2898698
HOLWEGER, KIMBERLEY ANNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
KIRCHER, NICHOLE MARIEVICE PRESIDENT2876887
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
REINHOLZ, CHRISTOPHER JONVICE PRESIDENT, DIRECTOR OF TRADING1961258
RUMMEL, LEANN RENEEMANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER1965155
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
WEITHAUS, GWENDOLYNCHIEF COMPLIANCE OFFICER2445442

Disclosures

Regulatory Event11
Arbitration3

Red Flags

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

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Company Information

CETERA INVESTMENT SERVICES LLC

CRD#: 15340Albany, GA 31707

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