SD
Sitterra K. Dumford
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CRD#: 7502235
SD
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.
Sitterra K Dumford, who also goes by Sitterra K Heckman, was a registered financial professional .
Sitterra is a previously registered financial professional and started their career in finance in 2023. Sitterra had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sitterra K Heckman
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 2/2022 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: INTEGRITY FINANCIAL ADVISORS, LLC DBA INTEGRITY INSURANCE SOLUTIONS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SECURITIES AND INSURANCE POSITION/TITLE/RELATIONSHIP: MARKETING ASSOCIATE START DATE: 2/2022 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROCESSING ACCOUNT OPENING PAPERWORK, ASSISTING WITH SELLING MEDICARE. STARTING TO MARKET MYSELF TO SELL LTC, LIFE, DISABILITY INSURANCE, WHILE WORKING THROUGH TESTING TO BECOME A FINANCIAL ADVISOR; 3. NAME OF OTHER BUSINESS: NOTARY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: NOTARY SERVICES POSITION/TITLE/RELATIONSHIP: NOTARY START DATE: 8/2019 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: I OFFER THE SERVICE TO CURRENT CLIENTS FOR FREE AS A PERK. HAVE NOT OFFERED TO ANYONE ELSE EXCEPT CURRENT CLIENTS OF OUR BRANCH; 4. NAME OF OTHER BUSINESS: GREAT CLIPS; INVESTMENT RELATED: NO; ADDRESS: 10450 MAYSVILLE RD FORT WAYNE, IN 46835; NATURE OF BUSINESS: COSMETOLOGY; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: STYLIST; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PERFORMING HAIRCUTS FOR INDIVIDUALS;
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®
NoneExperience
Past
January 17, 2024 - November 5, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
FORT WAYNE, IN
Past
July 12, 2023 - November 5, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
FORT WAYNE, IN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/12/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
