James W. Pommert

EQUITTA ADVISORS LLC

Milford, OH 45150

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CRD#: 5487521

Professional summary

James Wey Pommert, who also goes by James W Pommert, is a registered financial advisor currently at EQUITTA ADVISORS LLC located in Milford, Ohio.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. James has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James W Pommert

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.

1. James Pommert now owns a small ownership stake in HipaaTrek, LLC where he spends 1-5 hours a week on passive/private investments. 2. Mr. Pommert is a minority owner of Native Pet, a pet nutrition company. This activity accounts for less than 1 hour a week of Mr. Pommert's time. 3. Mr. Pommert is a licensed insurance professional which accounts for 6 hours a week of Mr. Pommert's time. 4. Mr. Pommert provides consulting services for various independent companies. This activity accounts for less than 1 hour a month of Mr. Pommert's time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Wey Pommert'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®

None

Experience

Current

June 26, 2017 - Present

EQUITTA ADVISORS LLC

Office #1: 220 Mill Street Ste #23, Milford, OH 45150

RIA

CRD#: 288351

Milford, OH

Past

March 9, 2012 - July 17, 2017

KRILOGY

RIA

CRD#: 149046

ST. LOUIS, MO

Past

May 2, 2011 - November 15, 2011

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ST. LOUIS, MO

Past

May 11, 2009 - May 3, 2011

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ST. LOUIS, MO

Past

March 18, 2009 - May 3, 2011

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. LOUIS, MO

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

Kansas
(1/28/2022)

IAR

Missouri
(8/24/2017)

IAR

Ohio
(6/27/2017)

IAR

Pennsylvania
(9/22/2023)

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 66

Date: 4/28/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/2009

General Securities Representative Examination

Current Firm

EQUITTA ADVISORS LLC

CRD#: 288351 / SEC#:

Kansas

Registered Investment Advisory firm - (1/28/2022 Approved)

Missouri

Registered Investment Advisory firm - (8/24/2017 Approved)

Ohio

Registered Investment Advisory firm - (4/18/2017 Approved)

Pennsylvania

Registered Investment Advisory firm - (9/21/2023 Approved)

Wisconsin

Registered Investment Advisory firm - (11/9/2022 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).

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Contact information

Main Address

220 Mill Street Ste #23, Milford, OH 45150

Mailing Address

Phone number

(844) 369-3961

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	504
AUM (Assets Under Management)	$ 68,799,479

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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James W. Pommert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Wey Pommert's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITTA ADVISORS LLC

KRILOGY

PURSHE KAPLAN STERLING INVESTMENTS

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/28/2009

Series 7

Date: 3/17/2009

Current Firm

EQUITTA ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EQUITTA ADVISORS LLC

TRUST BUT VERIFY

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