Thomas J. Mohorcic
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.
Thomas James Mohorcic was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2018 - March 5, 2024
THE HUNTINGTON INVESTMENT COMPANY
March 5, 2018 - March 5, 2024
THE HUNTINGTON INVESTMENT COMPANY
June 16, 2017 - January 9, 2018
J.P. MORGAN SECURITIES LLC
June 16, 2017 - January 9, 2018
J.P. MORGAN SECURITIES LLC
April 17, 2017 - June 20, 2017
CITIZENS SECURITIES, INC.
April 17, 2017 - June 20, 2017
CITIZENS SECURITIES, INC.
September 25, 2012 - April 5, 2017
THE HUNTINGTON INVESTMENT COMPANY
September 20, 2012 - April 5, 2017
THE HUNTINGTON INVESTMENT COMPANY
December 20, 2010 - August 10, 2012
KEY INVESTMENT SERVICES LLC
January 30, 2008 - August 10, 2012
KEY INVESTMENT SERVICES LLC
April 29, 2004 - February 20, 2007
THE HUNTINGTON INVESTMENT COMPANY
November 18, 2003 - April 28, 2004
NATCITY INVESTMENTS, INC.
June 28, 1996 - September 9, 2003
BANC ONE SECURITIES CORPORATION
June 16, 1993 - July 29, 1993
MARKETING ONE SECURITIES, INC.
January 9, 1990 - March 2, 1992
MARKETING ONE SECURITIES, INC.
November 22, 1988 - October 18, 1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 22, 1988 - October 18, 1989
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
Contact information
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 | BOARD MEMBER | 4621076 |
| HOLDING, MELISSA | DIRECTOR OF WEALTH MANAGEMENT | 4621076 |
| LOUGH, SHAWN PATRICK | BOARD MEMBER | 6356321 |
| MIROBALLI, MICHAEL | CHIEF OPERATING OFFICER | 1545242 |
| MIROBALLI, MICHAEL | PRESIDENT | 1545242 |
| MIROBALLI, MICHAEL | BOARD MEMBER | 1545242 |
| POLIVKA, ALEX C | AML OFFICER | 6270624 |
| REBER, AARON | BOARD MEMBER | 7793642 |
| RICHARDSON, STEPHEN MONROE | CHIEF FINANCIAL OFFICER | 6260539 |
| RICHARDSON, STEPHEN MONROE | FINOP | 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.
