Joseph Tomkiewicz

Employer firm

Sierra Financial Advisory CRD 130934

$145M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Sierra Financial Advisory

Nevada City, CA • United States

Current Registrations

Authority	Category	Status	Date
OR	RA	APPROVED	2024-12-22
CA	RA	APPROVED	2024-12-18
TX	RA	APPROVED_RES	2023-01-26

OR RA
APPROVED

Since 2024-12-22
CA RA
APPROVED

Since 2024-12-18
TX RA
APPROVED_RES

Since 2023-01-26

Branch Locations

Nevada City, CA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Sierra Financial Advisory	Grass Valley	CA	03/2004	Present

03/2004 → Present

Sierra Financial Advisory

Grass Valley, CA

Previous Registrations

2008-05-13 → 2022-12-31

Sierra Financial Advisory

Nevada City, CA
2003-03-07 → 2004-04-29

Ubs Financial Services Inc.

Grass Valley, CA
1999-04-02 → 2003-03-13

Prudential Equity Group, Llc

Roseville, CA

Other Businesses

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

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-02-26
S63	Uniform Securities Agent State Law Examination	1999-01-29

S65 Uniform Investment Adviser Law Examination

1999-02-26
S63 Uniform Securities Agent State Law Examination

1999-01-29

Designations

Certified Financial Planner

Other Names

Joe Tomkiewicz

View on SEC IAPD