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JB

Joseph R. Brummel

WELLTH ADVISORY SERVICES
Harrisburg, SD
Some features on this profile are disabled
CRD#: 2767675
JB

Professional summary

Joseph Robert Brummel, AIF®, who also goes by Joe Brummel, is a registered financial advisor currently at WELLTH ADVISORY SERVICES, LLC located in Harrisburg, South Dakota.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Joseph has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joe Brummel

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) - RIA

Click below to view Joseph Robert Brummel'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

June 28, 2024 - Present

WELLTH ADVISORY SERVICES, LLC

RIA
CRD#: 330537
Harrisburg, SD
Past

April 1, 2019 - July 4, 2024

GLOBAL RETIREMENT PARTNERS LLC

RIA
CRD#: 172011
Harrisburg, SD
Past

August 23, 2018 - April 1, 2019

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
Prior Lake, MN
Past

August 23, 2018 - April 1, 2019

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
Prior Lake, MN
Past

March 18, 2014 - August 23, 2018

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
BURNSVILLE, MN
Past

September 15, 2010 - August 23, 2018

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
PLYMOUTH, MN
Past

September 9, 2010 - September 21, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
BURNSVILLE, MN
Past

January 4, 2010 - September 8, 2010

FINANCIAL TELESIS INC

BD
CRD#: 31012
PRIOR LAKE, MN
Past

February 21, 2003 - January 7, 2010

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
PLYMOUTH, MN
Past

April 23, 2002 - January 21, 2003

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

January 3, 1997 - April 4, 2002

ONE ORCHARD EQUITIES, INC.

BD
CRD#: 42124
GREENWOOD VILLAGE, CO
Past

October 18, 1996 - January 3, 1997

THE GREAT-WEST LIFE ASSURANCE COMPANY

BD
CRD#: 5927
ENGLEWOOD, CO

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".
WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA
Registered Investment Advisory firm - (4/26/2024 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.

Highlighted states indicate IAR registrations

IAR
Iowa
(7/23/2024)
IAR
Minnesota
(6/28/2024)
IAR
South Dakota
(7/1/2024)
IAR
Wisconsin
(6/28/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/11/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/21/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/17/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA
Registered Investment Advisory firm - (4/26/2024 Approved)
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Contact information

Main Address
Shorewood, IL
Mailing Address
Phone number
(866) 777-4015
Established
Firm type
Fiscal year end
# of Employees
72

SEC notice filing (44 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WELLTH ADV PART 2A (12/12/2025)
WELLTH ADV WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,338
AUM (Assets Under Management)$ 23,574,040,155

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.

Company Information

WELLTH ADVISORY SERVICES, LLC

CRD#: 330537Harrisburg, SD

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