Michael T. Hartley

DALE K. EHRHART

Venice, FL 34285

Some features on this profile are disabled

CRD#: 1522614

Professional summary

Michael Thomas Hartley, AIF®, CFP®, who also goes by Mike Hartley, is a registered financial advisor currently at DALE K. EHRHART, INC. located in Venice, Florida.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Michael has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Hartley

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.

THE VENICE COMPANY, REAL ESTATE MANAGEMENT PARTNERSHIP

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Hartley'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Experience

Current

November 18, 1994 - Present

DALE K. EHRHART, INC.

Office #1: 100 W Venice Ave Suite G, Venice, FL 34285

RIA

CRD#: 35971

Venice, FL

Past

November 18, 2003 - December 31, 2005

ALLIED ADVISORS LLC

RIA

CRD#: 127362

BEVERLY HILLS, CA

Past

November 14, 1994 - September 13, 2010

DALE K. EHRHART, INC.

CRD#: 35971

VENICE, FL

Past

March 4, 1987 - March 3, 1995

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

June 26, 1986 - March 13, 1987

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

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".

DALE K. EHRHART, INC.

ASSET CLASS STRATEGIES | DALE K. EHRHART, INC.

CRD#: 35971 / SEC#: 801-13542, 8-47154

RIA

Registered Investment Advisory firm - SEC (2/17/1978 Approved)

Terminated by SEC on 09/12/2010

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

Florida
(11/18/1994)

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: 7/22/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/1994

General Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 6/22/1994

Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

DALE K. EHRHART, INC.

ASSET CLASS STRATEGIES | DALE K. EHRHART, INC.

CRD#: 35971 / SEC#: 801-13542, 8-47154

RIA

Registered Investment Advisory firm - SEC (2/17/1978 Approved)

Terminated by SEC on 09/12/2010

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 W Venice Ave Suite G, Venice, FL 34285

Mailing Address

Phone number

(941) 485-8220

Established

Delaware since 10/30/1975

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DKE, INC. ADV PART 2 (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
HARTLEY, MICHAEL THOMAS	CEO	1522614
TRAMMELL, THOMAS BLAIR	SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	1003389
GETTE, MICKI RUTH	TREASURER FOP	2229275
HARTLEY, MICHAEL WARREN	VICE PRESIDENT - RESEARCH	4828732
KEYSER, ROBERT CALDWELL	VICE PRESIDENT - INSURANCE	857271
MOORE, JAMES HENRY	ASSISTANT VICE PRESIDENT	4165738
SANDERS, BYRON ANTHONY	PRESIDENT	835737
TRAMMELL, NANCY JEAN	SECRETARY	2454656

Regulatory assets under management

Total Number of Accounts	288
AUM (Assets Under Management)	$ 561,522,571

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
08/26/2024	Cover Page	Report
07/21/2023	Cover Page	Report
08/18/2022	Cover Page	Report

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.

Similar Advisors

John Darby

GRAHAM CAPITAL WEALTH MANAGEMENT, LLC

IAR

SARASOTA, FL

Adam Ausloos

ADVICEWORKS WEALTH ADVISORS

IAR

SARASOTA, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael T. Hartley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Hartley's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIED ADVISORS LLC

DALE K. EHRHART, INC.

WACHOVIA SECURITIES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

DALE K. EHRHART, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/22/1994

Series 63

Date: 8/26/1987

Series 7

Date: 6/21/1986

Series 24

Date: 6/22/1994

Series 28

Date: 6/22/1994

Current Firm

DALE K. EHRHART, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DALE K. EHRHART, INC.

TRUST BUT VERIFY

Similar Advisors