Amy R. Hazel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Amy Rachelle Hazel, who also goes by Amy Rachelle Artman, Amy R Hazel, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1985. Amy had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2012 - May 3, 2023
THE HUNTINGTON INVESTMENT COMPANY
June 19, 2012 - May 3, 2023
THE HUNTINGTON INVESTMENT COMPANY
May 12, 2009 - June 11, 2012
U.S. BANCORP ADVISORS, LLC
December 3, 2008 - June 11, 2012
U.S. BANCORP ADVISORS, LLC
March 1, 2006 - October 31, 2008
NATCITY INVESTMENTS, INC.
September 12, 2000 - December 18, 2000
MADISONMARKETPLACE.COM SECURITIES LLC
March 27, 1996 - July 6, 1999
NATCITY INVESTMENTS, INC.
May 5, 1994 - July 25, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
October 20, 1993 - December 20, 1993
NATCITY INVESTMENTS, INC.
October 13, 1993 - July 6, 1995
NATIONAL CITY INVESTMENTS CORPORATION
July 27, 1992 - October 21, 1993
SOCIETY INVESTMENTS, INC.
June 17, 1991 - July 27, 1992
AT INVESTMENT SERVICES CORP.
March 4, 1988 - July 12, 1989
PRESCOTT, BALL & TURBEN, INC.
May 27, 1986 - March 5, 1988
MOSELEY SECURITIES CORPORATION
October 23, 1985 - May 23, 1986
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | PARENT COMPANY | |
| BALLARD, MONICA VICKMAN | SECRETARY | 4245227 |
| BOARDMAN, JEFFREY MICHAEL | CONFLICT OFFICER | 2746492 |
| BRUNNER, MICHAEL EVANS | ROSFP | 5353459 |
| BRUNNER, MICHAEL EVANS | MUNICIPAL PRINCIPAL | 5353459 |
| DUNCAN, ERICA | BOARD MEMBER | 8031535 |
| ERDELYI, MICHAEL DAVID | PRINCIPAL OPERATIONS OFFICER | 5864282 |
| FERGUSON, EMILY ELIZABETH | CHIEF TECHNOLOGY OFFICER | 3107040 |
| FORESTA, CYNTHIA JEAN | CHIEF COMPLIANCE OFFICER | 2445804 |
| HAMILTON, MELANIE KATE-MCFARLAND | PRINCIPAL FINANCIAL OFFICER | 5452291 |
| HOLDING, MELISSA | DIRECTOR OF WEALTH MANAGEMENT | 4621076 |
| HOLDING, MELISSA | BOARD MEMBER | 4621076 |
| LOUGH, SHAWN PATRICK | BOARD MEMBER | 6356321 |
| MIROBALLI, MICHAEL | CHIEF OPERATING OFFICER | 1545242 |
| MIROBALLI, MICHAEL | BOARD MEMBER | 1545242 |
| MIROBALLI, MICHAEL | PRESIDENT | 1545242 |
| POLIVKA, ALEX C | AML OFFICER | 6270624 |
| REBER, AARON | BOARD MEMBER | 7793642 |
| RICHARDSON, STEPHEN MONROE | FINOP | 6260539 |
| RICHARDSON, STEPHEN MONROE | CHIEF FINANCIAL OFFICER | 6260539 |
Regulatory assets under management
| Total Number of Accounts | 37,298 |
| AUM (Assets Under Management) | $ 6,344,121,382 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 6 |
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.
