Michelle M. Schwab

ELLSWORTH ADVISORS

Hudson, OH 44236

Some features on this profile are disabled

CRD#: 3153160

Professional summary

Michelle Marie Schwab, who also goes by Michelle Schroeder, Michelle M Schroeder-loop, Michelle Marie Schroeder-loop, Michelle Marie Schroeder-loop, Michelle Schroederloop, is a registered financial advisor currently at ELLSWORTH ADVISORS, LLC located in Hudson, Ohio.

Michelle is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Michelle has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michelle Schroeder | Michelle M Schroeder-Loop | Michelle Marie Schroeder-Loop | Michelle Marie Schroeder-Loop | Michelle Schroederloop

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.

05/2015-PRESENT; NIR; PUBLISHING; BASTI PUBLISHING; 40 N HAYDEN PKWY HUDSON, OH; 1/0/HRS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michelle Marie Schwab'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

November 9, 2018 - Present

ELLSWORTH ADVISORS, LLC

Office #1: 1764 Georgetown Road, Hudson, OH 44236

RIA

CRD#: 297464

Hudson, OH

Past

December 8, 2010 - May 5, 2017

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

PASADENA, CA

Past

December 8, 2010 - May 5, 2017

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

July 20, 2004 - September 30, 2010

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CHICAGO, IL

Past

July 20, 2004 - September 30, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

CHICAGO, IL

Past

June 25, 2002 - June 4, 2004

NBC SECURITIES, INC.

RIA

CRD#: 17870

BIRMINGHAM, AL

Past

June 25, 2002 - June 4, 2004

NBC SECURITIES, INC.

CRD#: 17870

BIRMINGHAM, AL

Past

January 7, 2002 - March 6, 2002

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

November 20, 2000 - October 22, 2001

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

November 20, 2000 - October 22, 2001

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

ELLSWORTH ADVISORS, LLC

CRD#: 297464 / SEC#: 801-113634

RIA

Registered Investment Advisory firm - (7/19/2018 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

Ohio
(11/9/2018)

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: 4/27/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/28/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/11/2002

General Securities Principal Examination

Current Firm

ELLSWORTH ADVISORS, LLC

CRD#: 297464 / SEC#: 801-113634

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

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

1764 Georgetown Road, Hudson, OH 44236

Mailing Address

Phone number

(234) 200-0703

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

02 ADV PART 2A APPENDIX 1 (WRAP FEE PROGRAM BROCHURE) FOR ACCOUNTS HELD AT CHARLES SCHWAB 2024-05 (2/28/2025)

ADV PART 2A (FIRM BROCHURE) FOR ACCOUNTS HELD AT CHARLES SCHWAB 2025-02 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	1,863
AUM (Assets Under Management)	$ 1,185,403,327

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

Boris Kagarlitskiy

KEY INVESTMENT SERVICES LLC

IAR

University Heights, OH

James Magyari

COMMONWEALTH FINANCIAL NETWORK

IAR

Solon, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michelle M. Schwab

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michelle Marie Schwab's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NBC SECURITIES, INC.

NBC SECURITIES, INC.

FSC SECURITIES CORPORATION

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

ELLSWORTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2001

Series 63

Date: 12/20/2000

SIE

Date: 5/5/2017

Series 7

Date: 11/17/2000

Series 53

Date: 2/28/2003

Series 24

Date: 10/11/2002

Current Firm

ELLSWORTH ADVISORS, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLSWORTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors