MM
Michael Miroballi
THE HUNTINGTON INVESTMENT COMPANY
Chicago, IL 60606
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CRD#: 1545242
MM
Professional summary
Michael Miroballi is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Chicago, Illinois.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
BANK INSURANCE AND SECURITIES ASSOCIATION POSITION: President-Elect NATURE: Board Member / Committee Member INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2012 ADDRESS: 2001 K Street NW, 3rd Floor, Washington DC DC 20006, United States DESCRIPTION: Was previously reported and approved but was not shown. The purpose of the organization is to inform and provide networking opportunity for industry professionals. 1203 AUGUSTA CONDO HOMEOWNERS ASSOCIATION POSITION: Secretary NATURE: Board Member / Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2021 ADDRESS: 1203 W Augusta Blvd, Chicago IL 60642, United States DESCRIPTION: Homeowners association
CRS (Client Relationship Summary) - RIA
Click below to view Michael Miroballi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Miroballi'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
March 16, 2017 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Hfa Chicago Home Office Osj 222 N. Lasalle St. Suite #12-223, Chicago, IL 60606Office #3: Home Office Ops Osj - 41 South High 41 South High Street 4th Floor, Columbus, OH, 43215RIA
BD
CRD#: 16986
Chicago, IL
Current
March 16, 2017 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Hfa Chicago Home Office Osj 222 N. Lasalle St. Suite #12-223, Chicago, IL 60606Office #2: Home Office Ops Osj - 41 South High 41 South High Street 4th Floor, Columbus, OH, 43215RIA
BD
CRD#: 16986
Chicago, IL
Past
June 1, 2012 - April 1, 2014
BMO INVESTMENT DISTRIBUTORS, LLC
BD
CRD#: 146711
CHICAGO, IL
Past
May 1, 2012 - August 31, 2012
M&I FINANCIAL ADVISORS, INC
RIA
CRD#: 16517
CHICAGO, IL
Past
May 1, 2012 - November 7, 2012
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
CHICAGO, IL
Past
May 11, 2010 - November 29, 2010
AMCORE INVESTMENT SERVICES, INC
BD
CRD#: 27708
ROCKFORD, IL
Past
November 8, 2007 - February 17, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
CHICAGO, IL
Past
October 11, 2007 - February 17, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
RIA
CRD#: 137115
CHICAGO, IL
Past
June 18, 1996 - June 5, 2001
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
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(12/16/2020)
IAR
Illinois(3/16/2017)
RR
Illinois(3/17/2017)
IAR
Indiana(3/16/2017)
IAR
Kentucky(3/16/2017)
IAR
Michigan(3/16/2017)
RR
Ohio(3/16/2017)
IAR
Ohio(3/16/2017)
IAR
Pennsylvania(3/16/2017)
IAR
West Virginia(3/28/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
