MH
Michael D. Hartzell
W&S BROKERAGE SERVICES
Owings Mill, MD 21117
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CRD#: 4989949
MH
Professional summary
Michael David Hartzell is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Owings Mill, Maryland.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 9 firms and has passed the Series 66, Series 7TO, SIE and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael David Hartzell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael David Hartzell'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®
NoneExperience
Current
November 18, 2025 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 10461 Mill Run Circle Ste 625, Owings Mill, MD 21117RIA
BD
CRD#: 8099
Owings Mill, MD
Current
November 13, 2025 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 10461 Mill Run Circle Ste 625, Owings Mill, MD 21117RIA
BD
CRD#: 8099
Owings Mill, MD
Past
July 8, 2025 - September 26, 2025
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
Severna Park , MD
Past
February 18, 2025 - September 29, 2025
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Severna Park, MD
Past
November 25, 2020 - January 13, 2025
ELITE INCOME ADVISORS, INC.
RIA
CRD#: 285429
ELLICOTT CITY, MD
Past
July 27, 2020 - November 17, 2020
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
CONSHOHOCKEN, PA
Past
November 26, 2019 - November 17, 2020
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
October 23, 2018 - October 10, 2019
NYLIFE SECURITIES LLC
BD
CRD#: 5167
Columbia, MD
Past
March 25, 2017 - August 28, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HUNT VALLEY, MD
Past
September 25, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ELKRIDGE, MD
Past
July 17, 2006 - June 14, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
BALTIMORE, MD
Past
December 7, 2005 - June 14, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
BALTIMORE, MD
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".
W&S BROKERAGE SERVICES, INC.
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
RIA
Registered Investment Advisory firm - SEC (9/6/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Maryland(11/14/2025)
IAR
Maryland(11/18/2025)
IAR
Texas(1/13/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/8/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
W&S BROKERAGE SERVICES, INC.
COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
RIA
Registered Investment Advisory firm - SEC (9/6/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
400 Broadway, Cincinnati, OH 45202
Mailing Address
400 Broadway Ms-03, Cincinnati, OH 45202
Phone number
(513) 629-1055
Established
Ohio since 05/21/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
95
SEC notice filing (33 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY | OWNER | |
| BRODIE, TROY DALE | PRESIDENT | 1924559 |
| DELUCA, JAMES JOSEPH | VP, MARKETING | 5420948 |
| HERRON, SARAH SPARKS | CORPORATE SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | TREASURER | 6607547 |
| LOVELESS, MATTHEW WILLIAM | VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION | 5657647 |
| LUEBBE, GREGORY MICHAEL | ASSISTANT VICE PRESIDENT | 2924719 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOURNE, DOUGLAS EDWARD | AVP, BROKERAGE OPERATIONS | 2999021 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE OFFICER | 1327230 |
| WIEDENHEFT, TERRIE ANN | SENIOR VICE PRESIDENT AND CFO | 2619213 |
| WITTMAN, SCOTT JOSEPH | VP TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Regulatory assets under management
| Total Number of Accounts | 655 |
| AUM (Assets Under Management) | $ 175,814,665 |
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.
