Joseph Tomkiewicz

SIERRA FINANCIAL ADVISORY

Nevada City, CA

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CRD#: 3162964

Professional summary

Joseph Tomkiewicz, CFP®, who also goes by Joe Tomkiewicz, is a registered financial advisor currently at SIERRA FINANCIAL ADVISORY located in Nevada City, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Joseph has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Tomkiewicz

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.

I AM AN AGENT WITH FIXED ANNUITY COMPANIES. THIS OUTSIDE ACTIVITY CORRELATES DIRECTLY WITH MY ROLE AS FINANCIAL ADVISOR FOR SIERRA FINANCIAL ADVISORY. APPROX. 40 HOURS/WEEK, DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Tomkiewicz'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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

January 26, 2023 - Present

SIERRA FINANCIAL ADVISORY

RIA

CRD#: 130934

Nevada City, CA

Past

May 13, 2008 - December 31, 2022

SIERRA FINANCIAL ADVISORY

RIA

CRD#: 130934

NEVADA CITY, CA

Past

April 6, 2004 - December 31, 2012

AMERICAN INVESTORS COMPANY

CRD#: 38

NEVADA CITY, CA

Past

March 7, 2003 - April 29, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

GRASS VALLEY, CA

Past

March 7, 2003 - April 29, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 2, 1999 - March 13, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

ROSEVILLE, CA

Past

March 26, 1999 - March 13, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

SIERRA FINANCIAL ADVISORY

JOSEPH TOMKIEWICZ | SIERRA FINANCIAL ADVISORY INCORPORATED | SIERRA FINANCIAL ADVISORY | MICHAEL TOMKIEWICZ

CRD#: 130934 / SEC#: 801-117220

RIA

Registered Investment Advisory firm - (8/22/2019 Approved)

California

Registered Investment Advisory firm - (9/21/2019 Terminated)

Texas

Registered Investment Advisory firm - (8/22/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(12/18/2024)

IAR

Oregon
(12/22/2024)

IAR

Texas
(1/26/2023)

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: 2/26/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/26/1999

General Securities Representative Examination

Current Firm

SIERRA FINANCIAL ADVISORY

JOSEPH TOMKIEWICZ | SIERRA FINANCIAL ADVISORY INCORPORATED | SIERRA FINANCIAL ADVISORY | MICHAEL TOMKIEWICZ

CRD#: 130934 / SEC#: 801-117220

RIA

Registered Investment Advisory firm - (8/22/2019 Approved)

California

Registered Investment Advisory firm - (9/21/2019 Terminated)

Texas

Registered Investment Advisory firm - (8/22/2019 Terminated)

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Contact information

Main Address

Nevada City, CA

Mailing Address

Phone number

(530) 470-8939

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV DISCLOSURE BROCHURE 03 2025 (3/18/2025)

Regulatory assets under management

Total Number of Accounts	445
AUM (Assets Under Management)	$ 126,197,772

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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Firm Stability Insights

Joseph Tomkiewicz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SIERRA FINANCIAL ADVISORY

AMERICAN INVESTORS COMPANY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

SIERRA FINANCIAL ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/1999

Series 63

Date: 1/29/1999

Series 7

Date: 1/26/1999

Current Firm

SIERRA FINANCIAL ADVISORY

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIERRA FINANCIAL ADVISORY

TRUST BUT VERIFY

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