David B Schlabach
Professional Summary
David B Schlabach, who also goes by David Brent Schlabach, is a registered financial advisor currently at HUMMEL WEALTH MANAGEMENT, LLC located in Berlin, Ohio and ON INVESTMENT MANAGEMENT CO located in Berlin, Ohio. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David B Schlabach, David Brent Schlabach
Similar Advisors
LPL FINANCIAL LLC
TANDEM FINANCIAL, LLC
RIVERBRIDGE
J.P. MORGAN SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
TANDEM FINANCIAL, LLC
RIVERBRIDGE
J.P. MORGAN SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
TANDEM FINANCIAL, LLC
RIVERBRIDGE
J.P. MORGAN SECURITIES LLC
Disclosures on record.
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
LPL FINANCIAL LLC
TANDEM FINANCIAL, LLC
RIVERBRIDGE
J.P. MORGAN SECURITIES LLC
Years of Experience
38 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
TANDEM FINANCIAL, LLC
RIVERBRIDGE
J.P. MORGAN SECURITIES LLC
Current Firm
ON INVESTMENT MANAGEMENT CO
Contact Information
Main Address
One Financial Way, Cincinnati, OH 45242Mailing Address
P.o. Box 371, Cincinnati, OH 45201-0371Phone Number
(855) 262-0913# of Employees
196SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
14,153AUM (Assets Under Management)
$3,152,519,169Similar Advisors
LPL FINANCIAL LLC
TANDEM FINANCIAL, LLC
RIVERBRIDGE
J.P. MORGAN SECURITIES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
TANDEM FINANCIAL, LLC
RIVERBRIDGE
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
State Registrations and Notice Filings
(7/11/2011)
(2/18/2021)
(4/15/2005)
(6/22/2022)
(3/28/2024)
(7/10/2014)
(7/13/2020)
(9/2/2022)
(5/31/2024)
(5/19/2025)
(5/24/2024)
(8/24/2012)
(9/28/2011)
(6/22/2022)
(9/30/2010)
(8/11/1988)
(4/24/2007)
(4/27/2011)
(6/19/2013)
(2/22/2008)
(6/10/2014)
(9/25/2018)
(6/19/2013)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1988About the Series 6 examSRO Registrations
Similar Advisors
LPL FINANCIAL LLC
TANDEM FINANCIAL, LLC
RIVERBRIDGE
J.P. MORGAN SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view David B Schlabach's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
TANDEM FINANCIAL, LLC
RIVERBRIDGE
J.P. MORGAN SECURITIES LLC