MM
Michael T. Maeser
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CRD#: 1636857
MM
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.
Michael Thomas Maeser was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 6 firms and has passed the Series 65, Series 63, Series 72, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
GREATER TWIN CITES UNITED WAY POSITION: Board Member NATURE: Board Member / Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 08/01/2016 ADDRESS: 404 South Eighth Street, Minneapolis MN 55404, United States DESCRIPTION: The Greater Twin Cities United Way is one of the largest United Way organizations in the United States - serving most of the state of Minnesota. We unite changemakers, advocate for social good and develop solutions to address the challenges no one can solve alone. NAME: Minnesota Business Partnership POSITION: Board Member / Committee Member NATURE: This will be temporary until the new MN Regional President is hired. INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 7/1/2024 ADDRESS: 80 S 8th St Ste 3530, Minneapolis, MN 55402 DESCRIPTION: no specific board duties or responsibilities have been declared. This will be temporary until the new MN Regional President is hired.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
September 7, 2021 - December 12, 2024
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
Minnetonka, MN
Past
September 3, 2021 - December 12, 2024
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
Past
January 21, 2014 - August 16, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MINNEAPOLIS, MN
Past
January 3, 2011 - August 16, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MINNEAPOLIS, MN
Past
December 17, 2000 - December 31, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
WAYZATA, MN
Past
July 12, 1993 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
January 4, 1990 - July 20, 1993
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
March 19, 1987 - January 1, 1990
MARQUETTE FINANCIAL SERVICES, INC.
BD
CRD#: 17109
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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.
