Joseph R. Brummel

WELLTH ADVISORY SERVICES

Harrisburg, SD

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CRD#: 2767675

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.

Business Name: Strategic Retirement Partners SRP Investment Related: Yes Address: 25434 Prairiewood Lane Shorewood IL 60404 Nature of Business: Registered Rep Activities through WELLth Advisory Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Global Retirement Partners, LLC Position, Title or Relationship: Managing Director Start Date: 8/20/2018 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Managing Director for SRP Minnesota-based team. Business Name: 401k Consultants Inc. Investment Related: Yes Address: 20891 Monterey Avenue Prior Lake MN 55372 Nature of Business: Other Other/None of the Above Business entity for tax and accounting purposes only Position, Title or Relationship: President Start Date: 2/7/2003 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Maintain entity for tax and accounting purposes only. Business Name: The Plan Sponsor University (TPSU) Investment Related: No Address: 4425 Military Trail, Suite 202 Jupiter FL 33458 Nature of Business: Other Other/None of the Above Teaching/education Position, Title or Relationship: Adjunct Lecturer Start Date: 11/23/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Teach best practices for overseeing and managing retirement plans, and educating participants.

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

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

CRD#: 130139

PLYMOUTH, MN

Past

September 9, 2010 - September 21, 2018

LPL FINANCIAL LLC

CRD#: 6413

BURNSVILLE, MN

Past

January 4, 2010 - September 8, 2010

FINANCIAL TELESIS INC

CRD#: 31012

PRIOR LAKE, MN

Past

February 21, 2003 - January 7, 2010

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

PLYMOUTH, MN

Past

April 23, 2002 - January 21, 2003

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

January 3, 1997 - April 4, 2002

ONE ORCHARD EQUITIES, INC.

CRD#: 42124

GREENWOOD VILLAGE, CO

Past

October 18, 1996 - January 3, 1997

THE GREAT-WEST LIFE ASSURANCE COMPANY

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".

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/11/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/17/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WELLTH ADV WRAP BROCHURE (3/31/2025)

WELLTH ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,338
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.

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Advisor Monitoring

Firm Stability Insights

Joseph R. Brummel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Robert Brummel's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL RETIREMENT PARTNERS LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

LPL FINANCIAL LLC

FINANCIAL TELESIS INC

KESTRA INVESTMENT SERVICES, LLC

PRINCIPAL SECURITIES, INC.

ONE ORCHARD EQUITIES, INC.

THE GREAT-WEST LIFE ASSURANCE COMPANY

Primary Firm SEC Registration

WELLTH ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/11/2014

Series 63

Date: 10/21/1996

SIE

Date: 10/1/2018

Series 6

Date: 10/17/1996

Current Firm

WELLTH ADVISORY SERVICES, LLC

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WELLTH ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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