JW
Joseph D. Wieske
THE HUNTINGTON INVESTMENT COMPANY
TRAVERSE CITY, MI 49686
Some features on this profile are disabled
CRD#: 1392374
JW
Professional summary
Joseph Dennis Wieske, who also goes by Joe Wieske, Jd Wieske, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Traverse City, Michigan.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Joseph has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 8, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Wieske | Jd Wieske
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 Joseph Dennis Wieske's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Dennis Wieske'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
August 2, 2023 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Campus Plaza 1227 E. Front Street, Traverse City, MI 49686RIA
BD
CRD#: 16986
TRAVERSE CITY, MI
Current
August 2, 2023 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Campus Plaza 1227 E. Front Street, Traverse City, MI 49686RIA
BD
CRD#: 16986
TRAVERSE CITY, MI
Past
November 27, 2013 - February 2, 2023
INSPEREX LLC
BD
CRD#: 101420
SALT LAKE CITY, UT
Past
November 5, 2012 - October 22, 2013
COHEN & COMPANY SECURITIES, LLC
BD
CRD#: 149758
BOCA RATON, FL
Past
February 27, 2012 - November 1, 2012
RAFFERTY CAPITAL MARKETS, LLC
BD
CRD#: 23682
GARDEN CITY, NY
Past
May 14, 2009 - November 1, 2012
SANDGRAIN SECURITIES LLC
BD
CRD#: 26004
BOCA RATON, FL
Past
August 4, 2008 - May 4, 2009
OPPENHEIMER & CO. INC.
BD
CRD#: 249
BOCA RATON, FL
Past
February 27, 2006 - July 7, 2008
VFINANCE INVESTMENTS, INC
BD
CRD#: 44962
BOCA RATON, FL
Past
August 24, 2004 - May 3, 2006
STERLING FINANCIAL INVESTMENT GROUP, INC.
BD
CRD#: 41506
BOCA RATON, FL
Past
January 22, 1998 - August 24, 2004
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
April 20, 1995 - November 26, 1997
LOP CAPITAL MARKETS, INC.
BD
CRD#: 29726
BOCA RATON, FL
Past
September 27, 1991 - April 11, 1997
LEHWALD, OROSEY & PEPE INCORPORATED
BD
CRD#: 16677
BOCA RATON, FL
Past
September 26, 1989 - June 20, 1990
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 26, 1989 - June 20, 1990
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
May 27, 1988 - August 19, 1989
LEHWALD, OROSEY & PEPE INCORPORATED
BD
CRD#: 16677
BOCA RATON, FL
Past
January 6, 1988 - May 5, 1988
FIRST STATE INVESTMENTS, INC.
BD
CRD#: 16693
Past
July 23, 1985 - January 15, 1988
FIRST INVESTMENT SECURITIES, INC.
BD
CRD#: 13459
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".
TH
THE HUNTINGTON INVESTMENT COMPANY
HUNTINGTON CAPITAL MARKETS, INC. | THE HUNTINGTON INVESTMENT COMPANY | THE HUNTINGTON COMPANY | HUNTINGTON FINANCIAL ADVISORS
CRD#: 16986 / SEC#: 801-58015, 8-34867
RIA
Registered Investment Advisory firm - SEC (10/6/2000 Approved)Ohio
Registered Investment Advisory firm - SEC (11/15/2000 Terminated)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
Michigan(8/2/2023)
IAR
Michigan(8/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/7/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TH
THE HUNTINGTON INVESTMENT COMPANY
HUNTINGTON CAPITAL MARKETS, INC. | THE HUNTINGTON INVESTMENT COMPANY | THE HUNTINGTON COMPANY | HUNTINGTON FINANCIAL ADVISORS
CRD#: 16986 / SEC#: 801-58015, 8-34867
RIA
Registered Investment Advisory firm - SEC (10/6/2000 Approved)Ohio
Registered Investment Advisory firm - SEC (11/15/2000 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
41 S. High St. 4th Floor Hc0429, Columbus, OH 43215
Mailing Address
7 Easton Oval 5th Floor Ea5c003, Columbus, OH 43219
Phone number
(800) 322-4600
Established
Ohio since 01/17/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
501
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.
