JH
Joshua M. Hartzler
HUMMEL WEALTH MANAGEMENT
WOOSTER, OH 44691
Some features on this profile are disabled
CRD#: 5571827
JH
Professional summary
Joshua Michael Hartzler, AIF®, CFP® is a registered financial advisor currently at HUMMEL WEALTH MANAGEMENT, LLC located in Wooster, Ohio and ON INVESTMENT MANAGEMENT CO located in Wooster, Ohio.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Joshua has worked at 5 firms and has passed the Series 66, SIE, Series 7 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 GROUP; INVESTMENT RELATED; 461 WADSWORTH ROAD ORRVILLE OH 44667; INSURANCE & FINANCIAL SERVICES;RETIREMENT PLAN SPECIALIST; START DATE 07/15/2013; HOURS/MONTH 160; HOURS/TRADING 130; PROPOSALS/COST ANALYSIS,ORGANIZATION MANAAGEMENT & INVESTMENT ANALYSIS, life insurance and Fixed Indexed Annuities sales 2) HUMMEL WEALTH MANAGEMENT LLC; INVESTMENT RELATED; 4585 SR 39 P O BOX 250 BERLIN OH 44610; INVESTMENT ADVISORY; RETIREMENT PLAN SPECIALIST; START DATE 10/3/2013; HOURS/MONTH 140; HOURS/TRADING 120; PROCESS ENROLLMENTS,MUTUAL FUND RESEARCH,PLAN ADMINISTRATION,COMPLIANCE AND FIDUCIARY OVERSIGHT OF CLIENTS; 3) Health Insurance Sales; not investment related; 615 Riffel Road Wooster OH 44691; primarily disability insurance sales to clients as needed; Health insurance sales; 04/01/2022; 1 hour/month ( 1 during security trading hours); Health insurance sales.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Michael Hartzler'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®
Experience
Current
October 10, 2013 - Present
HUMMEL WEALTH MANAGEMENT, LLC
Office #1: 615 Riffel Road Suite A, Wooster, OH 44691RIA
CRD#: 143523
WOOSTER, OH
Current
June 3, 2020 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 651 Riffel Road, Wooster, OH 44691RIA
CRD#: 105662
Wooster, OH
Current
August 29, 2013 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 461 Wadsworth Rd, Orrville, OH 44667BD
CRD#: 2936
Orrville, OH
Past
June 8, 2010 - August 20, 2013
EXPAND FINANCIAL, LLC
RIA
CRD#: 152515
MANSFIELD, OH
Past
November 10, 2008 - March 9, 2012
KM&M PINNACLE, LTD.
RIA
CRD#: 121103
MANSFIELD, 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
IAR
Illinois(9/26/2024)
RR
Illinois(10/4/2024)
RR
Ohio(8/30/2013)
IAR
Ohio(10/10/2013)
IAR
Pennsylvania(2/9/2021)
IAR
West Virginia(5/3/2021)
Exams
State Security Law 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.
