Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MICHAEL DONALD KORTFELT
MICHAEL D KORTFELT
CRD#: 3193107
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 8332 WOODFIELD CROSSING BLVD
INDIANAPOLIS, IN 46240-2482
CHARLES SCHWAB & CO., INC.CRD#: 5393 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240-2482
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (2 years)2 FIRMS2010 - 2012 (1 year)2 FIRMS2014 - Present (10 years)BESSEX NATIONAL SECURITIES, LLC (CRD# 25454)2012 - 2014 (2 years)BNATCITY INVESTMENTS, INC. (CRD# 17490)2003 - 2006 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2003 (4 years)IAESSEX NATIONAL SECURITIES, INC. (CRD# 25454)2012 - 2012 (<1 year)IANATCITY INVESTMENTS, INC. (CRD# 17490)2006 - 2006 (<1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2002 - 2003 (1 year)
Disclosure(s)
View By:
2/2/2016
Customer Dispute
Settled
License(s)

State Registrations

B
California 8/27/2014
B
New Jersey 7/24/2014
B
Colorado 1/23/2015
B
New York 7/24/2014
B
Connecticut 7/24/2014
B
North Carolina 12/11/2014
B
Florida 7/24/2014
B
North Dakota 2/7/2024
B
Georgia 7/24/2014
B
Ohio 2/7/2024
B
Hawaii 10/31/2018
B
Pennsylvania 7/24/2014
B
Illinois 10/25/2017
B
Rhode Island 7/24/2014
B
Indiana 7/24/2014
B
South Carolina 7/24/2015
IA
Indiana 7/24/2014
B
Texas 10/27/2020
B
Maine 7/24/2014
IA
Texas 1/10/2021
B
Massachusetts 7/24/2014
B
Vermont 7/24/2014
B
Minnesota 2/7/2024
B
Virgin Islands 2/7/2024
B
Nevada 1/5/2016
B
Virginia 6/27/2016
B
New Hampshire 7/24/2014
B
Washington 7/9/2018

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
8332 WOODFIELD CROSSING BLVD, INDIANAPOLIS, IN 46240-2482
Registered with this firm since 7/24/2014
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482
Registered with this firm since 7/24/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/12/2012 - 05/23/2014 ESSEX NATIONAL SECURITIES, LLC (CRD#:25454) BIRMINGHAM, MI
IA
 01/20/2012 - 08/30/2012 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) BIRMINGHAM, MI
IA
 11/24/2010 - 01/30/2012 LPL FINANCIAL LLC (CRD#:6413) NOVI, MI
B
 11/25/2010 - 01/30/2012 LPL FINANCIAL LLC (CRD#:6413) NOVI, MI
IA
 09/27/2006 - 07/17/2009 FIFTH THIRD SECURITIES, INC. (CRD#:628) NOVI, MI
B
 09/26/2006 - 07/17/2009 FIFTH THIRD SECURITIES, INC. (CRD#:628) NOVI, MI
IA
 06/23/2006 - 09/18/2006 NATCITY INVESTMENTS, INC. (CRD#:17490) ST. CLAIR SHORES, MI
B
 04/08/2003 - 09/18/2006 NATCITY INVESTMENTS, INC. (CRD#:17490) ST. CLAIR SHORES, MI
IA
 01/10/2002 - 04/08/2003 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) BLF. HILLS, MI
B
 03/16/1999 - 04/08/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.