RB
Robert M. Bein
THE HUNTINGTON INVESTMENT COMPANY
Chicago, IL 60601
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CRD#: 1449632
RB
Professional summary
Robert Michael Bein, who also goes by Michael Robert Bein, Mike Robert Bein, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Chicago, Illinois.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Robert Bein | Mike Robert Bein
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 Robert Michael Bein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Michael Bein'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
February 22, 2019 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: West Osj - Lasalle Office 222 N Lasalle Street, Suite 12-222, Chicago, IL 60601RIA
BD
CRD#: 16986
Chicago, IL
Current
December 21, 2017 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: West Osj - Lasalle Office 222 N Lasalle Street, Suite 12-222, Chicago, IL 60601RIA
BD
CRD#: 16986
Chicago, IL
Past
December 4, 2012 - November 28, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
CHICAGO, IL
Past
March 24, 2009 - December 23, 2011
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
CHICAGO, IL
Past
June 4, 2008 - March 25, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
OAK BROOK, IL
Past
March 4, 2008 - May 23, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
ROSEMONT, IL
Past
March 23, 2006 - March 4, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
ROSEMONT, IL
Past
December 4, 2001 - March 20, 2006
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
January 4, 2001 - January 4, 2002
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
September 20, 1999 - September 15, 2000
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
Past
September 1, 1993 - September 15, 1999
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
August 14, 1991 - September 27, 1993
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
ELMHURST, IL
Past
April 7, 1989 - September 9, 1989
GARY-WHEATON INVESTMENT SERVICES, INC.
BD
CRD#: 17080
Past
January 22, 1986 - April 28, 1988
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
Colorado(10/4/2021)
IAR
Colorado(10/5/2021)
RR
Illinois(10/4/2021)
IAR
Illinois(10/18/2021)
RR
Minnesota(10/4/2021)
IAR
Minnesota(10/6/2021)
RR
Ohio(12/21/2017)
IAR
Ohio(2/22/2019)
RR
Wisconsin(10/4/2021)
IAR
Wisconsin(10/5/2021)
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
General Industry/Product Exam
General Industry/Product 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)
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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.
