Joseph D. Summa

ASCENT WEALTH PARTNERS

New Hartford, NY 13413

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CRD#: 5879724

Professional summary

Joseph Dominick Summa is a registered financial advisor currently at ASCENT WEALTH PARTNERS, LLC located in New Hartford, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Joseph has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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)TEUGEGA COUNTRY CLUB; NOT INVESTMENT RELATED; 6801 Golf Course Road, , Rome, NY. 13440; BOARD MEMBER, TREASURER; START DATE 1/2021; 8 HRS/MON; REVIEW CLUB FINANCIALS INCLUDING BALANCE SHEET AND INCOME STATEMENT, PREPARE ANNUAL BUDGET, MAKE RECOMMENDATIONS ABOUT THE FINANCIAL AFFAIRS OF CLUB. 2)UTICA COLLEGE;NOT INVESTMENT RELATED;1600 Burrstone Road, , Utica, NY. 13502; ADJUNCT PROFESSOR; 30 HRS/MON; DEVELOP AND MANAGE SYLLABUS, FACILITATE CLASS STRUCTURE, EVALUATE STUDENT PERFORMANCE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Dominick Summa'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®

None

Experience

Current

September 19, 2018 - Present

ASCENT WEALTH PARTNERS, LLC

Office #1: 89 Genesee Street, New Hartford, NY 13413

RIA

CRD#: 158898

New Hartford, NY

Past

April 3, 2012 - June 30, 2017

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

New Hartford, NY

Past

August 24, 2011 - November 11, 2011

STRATEGIC FINANCIAL SERVICES

RIA

CRD#: 109677

UTICA, NY

Past

February 18, 2011 - September 9, 2011

CADARET, GRANT & CO., INC.

CRD#: 10641

UTICA, 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".

ASCENT WEALTH PARTNERS, LLC

ASCENT MANAGEMENT I, LLC | ASCENT WEALTH PARTNERS, LLC

CRD#: 158898 / SEC#: 801-72693

RIA

Registered Investment Advisory firm - (8/24/2011 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

New York
(6/14/2021)

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: 5/11/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/2011

General Securities Representative Examination

Current Firm

ASCENT WEALTH PARTNERS, LLC

ASCENT MANAGEMENT I, LLC | ASCENT WEALTH PARTNERS, LLC

CRD#: 158898 / SEC#: 801-72693

RIA

Registered Investment Advisory firm - (8/24/2011 Approved)

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Contact information

Main Address

89 Genesee Street, New Hartford, NY 13413

Mailing Address

Phone number

(315) 624-7300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASCENT DISCLOSURE BROCHURE (1/29/2025)

Regulatory assets under management

Total Number of Accounts	2,124
AUM (Assets Under Management)	$ 1,322,466,782

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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Joseph D. Summa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ASCENT WEALTH PARTNERS, LLC

PURSHE KAPLAN STERLING INVESTMENTS

STRATEGIC FINANCIAL SERVICES

CADARET, GRANT & CO., INC.

Primary Firm SEC Registration

ASCENT WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/11/2011

SIE

Date: 6/30/2017

Series 7

Date: 2/17/2011

Current Firm

ASCENT WEALTH PARTNERS, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASCENT WEALTH PARTNERS, LLC

TRUST BUT VERIFY

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