THE HUNTINGTON INVESTMENT COMPANY of COLUMBUS, OH is an SEC-registered investment adviser (CRD 16986). Regulatory assets under management: $7.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Charities.
Showing 25 of 71 people.
| Name | Role | Location |
|---|---|---|
| Gregory Brett Andrew | CHIEF COMPLIANCE OFFICER | Austin, TX |
| Watson David | CHIEF COMPLIANCE OFFICER; MUNICIPAL PRINCIPAL | Houston, TX |
| Michael Miroballi | BOARD MEMBER; CHIEF OPERATING OFFICER; PRESIDENT | — |
| Stephen Monroe Richardson | CHIEF FINANCIAL OFFICER; FINOP | — |
| Shawn Patrick Lough | BOARD MEMBER | — |
| Melanie Kate-Mcfarland Hamilton | PRINCIPAL FINANCIAL OFFICER | — |
| Alex C Polivka | AML OFFICER | — |
| Jeffrey Michael Boardman | CONFLICT OFFICER | — |
| Monica Vickman Ballard | SECRETARY | — |
| Cynthia Jean Foresta | CHIEF COMPLIANCE OFFICER | — |
| Emily Elizabeth Ferguson | CHIEF TECHNOLOGY OFFICER | — |
| Melissa Holding | BOARD MEMBER; DIRECTOR OF WEALTH MANAGEMENT | — |
| Michael David Erdelyi | PRINCIPAL OPERATIONS OFFICER | — |
| Aaron Reber | BOARD MEMBER | — |
| Michael Evans Brunner | MUNICIPAL PRINCIPAL; ROSFP | — |
| Erica Duncan | BOARD MEMBER | — |
| CASE LARRY DEAN | SECRETARY | — |
| CHIN CYNTHIA GAY | FINOP | — |
| COMFORT ROBERT JAMES | PRESIDENT; PRESIDENT, DIRECTOR OF COMPANY | — |
| LARSEN LARRY PATRICK | CROP; ROSFP; SROP (+1 more) | — |
| KLOSZ RAYMOND THEODORE | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, DIRECTOR OF COMPANY (+1 more) | — |
| BENHASE DANIEL BRIAN | DIRECTOR OF COMPANY | — |
| GARTNER PAUL ANDREW | SVP, NATIONAL SALES MANAGER - WEALTH ADVISORS; SVP, NATIONAL SALES MANAGER - WMG | — |
| DUNLAP PETER AUSTIN | PRESIDENT, DIRECTOR OF COMPANY; SVP, NATIONAL SALES MANAGER; SVP, NATIONAL SALES MANAGER - RETAIL | — |
| FREDRICKSON BARRY GORDON | MUNICIPAL PRINCIPAL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-02-09 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION, IN CONNECTION WITH THE BROKER-DEALER OFF-CHANNEL COMMUNICATIONS INITIATIVE, ISSUED AN ORDER ("ORDER") PURSUANT TO A SETTLEMENT WITH HUNTINGTON SECURITIES, INC., THE HUNTINGTON INVESTMENT COMPANY ("HIC"), AND CAPSTONE CAPITAL MARKETS LLC (COLLECTIVELY "HUNTINGT… | Final | $1.3M |
| 2019-03-11 | regulatory | ON MARCH 11, 2019, THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") ISSUED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940. THESE PROCEEDINGS ARISE OUT OF BREACHES OF FIDUCIARY DUTY AND INADEQUAT… | Final | — |
| 2017-07-14 | regulatory | THE NORTH CAROLINA DEPARTMENT OF INSURANCE FINED THE FIRM THE SUM OF $1,500 DUE TO REGULATORY AND ADMINISTRATIVE ACTIONS NOT DISCLOSED ON ITS FORM BD FROM 1999 THROUGH 2015. | Final | $2K |
| 2017-05-18 | regulatory | THE WISCONSIN OFFICE OF THE COMMISSIONER OF INSURANCE STATES THE FIRM FAILED TO FULLY DISCLOSE ALL ADMINISTRATIVE ACTIONS TAKEN AGAINST IT IN ITS APPLICATION FOR NON-RESIDENT BUSINESS ENTITY INSURANCE LICENSE WHEN IT FAILED TO FORWARD SEVEN FINRA ARBITRATION AWARDS/JUDGMENTS BETWEEN 2003 AND 2012. T… | Final | $1K |
| 2016-10-31 | regulatory | THE FIRM WAS SUPPOSED TO ANSWER YES TO THE OHIO STATE DEPARTMENT OF INSURANCE RENEWAL APPLICATION SHOWING IT WAS PREVIOUSLY SUBJECT TO FINRA REGULATORY ACTION SUCH AS AN AWC. | Final | $500 |
| 2015-08-31 | regulatory | FINRA ALLEGED FROM MAY 1, 2009 TO APRIL 30, 2014(THE "RELEVANT PERIOD"), HUNTINGTON FAILED TO APPLY SALES CHARGE DISCOUNTS TO CERTAIN CUSTOMERS' ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUSTS ("UITS") IN VIOLATION OF FINRA RULE 2010. IN ADDITION, HUNTINGTON FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A… | Final | $75K |
| 2015-07-02 | regulatory | REQUIRED INDIANA STATE SECURITIES DIVISION ANNUAL INDEPENDENT BRANCH EXAMINATION REPORT WAS CONDUCTED AND DELIVERED LATE. | Final | $2K |
| 2014-01-29 | regulatory | VIOLATION OF MUNICIPAL SECURITIES RULEMAKING BOARD (MSRB)G-32, G-27(C) AND G-37 | Final | $25K |