Karl D. Schlabach
HUMMEL WEALTH MANAGEMENT
BERLIN, OH 44610
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CRD#: 3050103
Professional summary
Karl David Schlabach, CFP®, ChFC®, CLU® is a registered financial advisor currently at HUMMEL WEALTH MANAGEMENT, LLC located in Berlin, Ohio and ON INVESTMENT MANAGEMENT CO located in Orrville, Ohio.
Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Karl has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 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)HUMMEL WEALTH MANAGEMENT, LLC; INVESTMENT RELATED; 461 Wadworth Road, Orrville, OH 44667; INVESTMENT ADVISORY SERVICES; CFO/CCO; 04/2007 TO PRESENT; 40 HOURS PER MONTH; 40 HOURS PER MONTH DURING TRADING HOURS; INVESTMENT ADVISOR, CHIEF COMPLIANCE OFFICER. 2) HUMMEL GROUP INC.; NOT INVESTMENT RELATED; 461 Wadworth Road, Orrville, OH 44667; INSURANCE AND ANNUITY SALES; AGENT; START DATE 11/01/2012; HOURS/MONTH 80; HOURS/TRADING 80; SALES OF LIFE INSURANCE,DISABILITY INSURANCE,FIXED.
CRS (Client Relationship Summary) - RIA
Click below to view Karl David Schlabach'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®
CFP®
Start date: 2005
Experience
Current
April 24, 2007 - Present
HUMMEL WEALTH MANAGEMENT, LLC
Office #1: 4585 State Route 39 P O Box 250, Berlin, OH 44610Office #2: 4585 State Route 39, Berlin, OH 44610RIA
CRD#: 143523
BERLIN, OH
Current
November 1, 2012 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 461 Wadsworth Road, Orrville, OH 44667RIA
CRD#: 105662
Orrville, OH
Current
August 27, 1998 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 461 Wadsworth Rd, Orrville, OH 44667BD
CRD#: 2936
Orrville, OH
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".
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(9/24/2015)
RR
Colorado(12/10/2012)
RR
Florida(11/1/2012)
IAR
Florida(4/12/2017)
RR
Georgia(3/31/2020)
IAR
Georgia(4/1/2020)
RR
Indiana(11/1/2012)
IAR
Indiana(3/6/2014)
RR
Kentucky(3/22/2017)
RR
Missouri(8/3/2021)
IAR
Missouri(12/16/2021)
RR
North Carolina(4/20/2021)
RR
Ohio(8/31/1998)
IAR
Ohio(4/24/2007)
RR
Oregon(1/17/2025)
RR
Pennsylvania(11/1/2012)
IAR
Pennsylvania(8/8/2019)
RR
South Carolina(3/18/2021)
RR
Texas(11/1/2013)
RR
Virginia(3/28/2013)
IAR
Virginia(10/29/2019)
RR
Washington(1/23/2023)
IAR
Wisconsin(8/7/2019)
RR
Wisconsin(8/12/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 371, Cincinnati, OH 45201-0371
Phone number
(855) 262-0913
Established
Firm type
Fiscal year end
# of Employees
3,193
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
