MM
Michael A. Mumau
AMERITAS ADVISORY SERVICES
PUNXSUTAWNEY, PA 15767
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CRD#: 1288895
MM
Professional summary
Michael Alan Mumau, who also goes by Mick Mumau, Mike Mumau, is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Punxsutawney, Pennsylvania and AMERITAS INVESTMENT COMPANY, LLC located in Punxsutawney, Pennsylvania.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Michael has worked at 2 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mick Mumau | Mike Mumau
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.
LICENSED AS AN INDEPENDENT INSURANCE AGENT TO SELL FIXED INSURANCE PRODUCTS; *WESTERN PA FINANCIAL CENTER, DBA AMERITAS FINANCIAL SERVICES OF WPA; SAME AS BRANCH; INV REL; INSURANCE SALES TO CLIENTS; AGENT; START DATE=07/1981; HRS/MO=100; TRADING HRS/MO=80; INSURANCE SALES; *SWIFT KENNEDY & ASSOCIATES; 100 MEADOW LN STE 1, DUBOIS PA 15801; NON-INV REL; HEALTH INSURANCE; AGENT; START DATE=01/1999; HRS/MO=25; TRADING HRS/MO=20; SALE AND SERVICE OF HEALTH INSURANCE PRODUCTS; *UNDERWRITERS BROKERAGE; 310 GRANT ST STE 920, PITTSBURGH PA 15219; INV REL; SALES OF LONG TERM CARE & LIFE INSURANCE THAT DOESN'T PENALIZE TOBACCO CHEWERS; AGENT; START DATE=01/1990; HRS/MO=3; TRADING HRS/MO=3; SALES; *Mumau and Sons; 194 Ezekiel Ln, Punxsutawney PA 15767; non-inv rel; my father and I bought some land in 1985; Partner; start date=06/1985; hrs/mo=1; trading hrs/mo=0; cash for sale of timber and gas royalties; *Mumau Investments and Insurance; same as branch; inv rel; sales of fixed life insurance and medicare supplements; Owner; start date=10/2019; hrs/mo=3; trading hrs/mo=3; sales of fixed life insurance and medicare supplements * PUNX'Y BEVERAGE COMPANY; 251 S PENN ST EXT, PUNXSUTAWNEY, PA 15767; NON-INV REL; SELL CIDER, MEAD AND WINE; PART OWNER; START DATE=04/2022; HRS/MO=10; TRADING HRS/MO=0; LABORER
CRS (Client Relationship Summary) - RIA
Click below to view Michael Alan Mumau'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®
NoneExperience
Current
November 1, 2021 - Present
AMERITAS ADVISORY SERVICES, LLC
Office #1: 31 Universal Dr Ste A, Punxsutawney, PA 15767RIA
CRD#: 317245
PUNXSUTAWNEY, PA
Current
July 23, 1984 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 31 Universal Dr Ste A, Punxsutawney, PA 15767BD
CRD#: 14869
PUNXSUTAWNEY, PA
Past
July 11, 2017 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
PUNXZUTAWNEY, PA
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".
AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
RIA
Registered Investment Advisory firm - (1/13/1998 Approved)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(1/5/2009)
RR
Maryland(10/7/2024)
RR
New Jersey(3/28/2025)
RR
Ohio(8/29/2005)
RR
Pennsylvania(9/26/1984)
IAR
Pennsylvania(11/1/2021)
RR
Texas(3/28/2025)
IAR
Texas(3/28/2025)
RR
Virginia(1/8/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/23/1990
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
RIA
Registered Investment Advisory firm - (1/13/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5900 O Street, Lincoln, NE 68510
Mailing Address
Phone number
(800) 335-9858
Established
Firm type
Fiscal year end
# of Employees
560
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 41,501 |
| AUM (Assets Under Management) | $ 11,506,548,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 07/23/2024 | ||
| 07/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
