Joanna M. Mummert
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.
Joanna Marie Mummert was a registered financial professional .
Joanna is a previously registered financial professional and started their career in finance in 2001. Joanna had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2023 - December 4, 2025
AMERITAS ADVISORY SERVICES, LLC
September 3, 2021 - May 15, 2023
THE ASCENT GROUP, LLC
August 27, 2019 - November 5, 2021
AMERITAS INVESTMENT COMPANY, LLC
August 23, 2019 - December 4, 2025
AMERITAS INVESTMENT COMPANY, LLC
February 21, 2014 - December 22, 2017
AMERITAS INVESTMENT COMPANY, LLC
February 14, 2014 - December 22, 2017
AMERITAS INVESTMENT COMPANY, LLC
February 28, 2012 - December 31, 2013
CETERA ADVISORS LLC
February 28, 2012 - December 31, 2013
CETERA ADVISORS LLC
January 5, 2012 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
December 22, 2011 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
April 29, 2003 - December 31, 2009
PACIFIC WEST FINANCIAL CONSULTANTS INC
December 19, 2001 - December 31, 2009
PACIFIC WEST SECURITIES, INC.
Primary Firm SEC Registration
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
Contact information
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
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.
