SH
Samuel A. Huffman
HUNTINGTON SECURITIES
Charlotte, NC 28280
Some features on this profile are disabled
CRD#: 1699160
SH
Professional summary
Samuel Alan Huffman, who also goes by Samuel A Huffman, is a registered financial professional currently at HUNTINGTON SECURITIES, INC. located in Charlotte, North Carolina.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 1988. Samuel has worked at 5 firms and has passed the Series 63, Series 72, SIE, Series 7 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Samuel A Huffman
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) - BD
Click below to view Samuel Alan Huffman'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 2, 2026 - Present
HUNTINGTON SECURITIES, INC.
Office #1: 101 S. Tryon St Suite 1810, Charlotte, NC 28280BD
CRD#: 2261
Charlotte, NC
Past
April 23, 2015 - June 23, 2025
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
November 1, 2010 - October 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 9, 1993 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
November 30, 1988 - July 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(3/2/2026)
RR
Arizona(3/2/2026)
RR
Arkansas(3/2/2026)
RR
California(3/2/2026)
RR
Colorado(3/2/2026)
RR
Connecticut(3/2/2026)
RR
Florida(3/2/2026)
RR
Georgia(3/2/2026)
RR
Illinois(3/2/2026)
RR
Indiana(3/2/2026)
RR
Kentucky(3/2/2026)
RR
Louisiana(3/2/2026)
RR
Massachusetts(3/2/2026)
RR
Michigan(3/2/2026)
RR
Missouri(3/2/2026)
RR
Montana(3/2/2026)
RR
New Jersey(3/2/2026)
RR
New Mexico(3/2/2026)
RR
New York(3/2/2026)
RR
North Carolina(3/2/2026)
RR
Ohio(3/2/2026)
RR
Oregon(3/2/2026)
RR
Pennsylvania(3/2/2026)
RR
Rhode Island(3/2/2026)
RR
Tennessee(3/2/2026)
RR
Texas(3/2/2026)
RR
Utah(3/2/2026)
RR
Virginia(3/2/2026)
RR
West Virginia(3/2/2026)
RR
Wisconsin(3/2/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HUNTINGTON SECURITIES, INC.
HUNTINGTON CAPITAL MARKETS | HUTCHINSON, SHOCKEY, ERLEY & CO. | HUTCHINSON SHOCKEY ERLEY | HUNTINGTON SECURITIES, INC.
CRD#: 2261 / SEC#: , 8-5761
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
41 South High St, Columbus, OH 43287
Mailing Address
41 South High St, Columbus, OH 43287
Phone number
(312) 443-1560
Established
Delaware since 02/08/1957
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| BORRELLI, MARK ROBERT | GENERAL COUNSEL/SECRETARY | 6803711 |
| COSTANZO, SAMANTHA ANN | DIRECTOR | 4133695 |
| DIBOWSKI, TERRA | HEAD OF BROKERAGE OPERATIONS | 5468840 |
| FITZSIMMONS, DAVID RAYMOND | HEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR | 4245434 |
| HERBERT, KATHERINE ELEANOR | CONTROLLER/FINOP | 6412263 |
| HOHENSTEIN, THOMAS | CFO | 3123815 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | PRESIDENT | 6419334 |
| SZWAGULAK, JOHN W III | CHIEF COMPLIANCE OFFICER | 4033023 |
| WALTHER, KATHLEEN | DIRECTOR | 7858303 |
Disclosures
| Regulatory Event | 8 |
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.
