KE
Kathleen V. Elrod
THE HUNTINGTON INVESTMENT COMPANY
Indianapolis, IN 46204
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CRD#: 1881303
KE
Professional summary
Kathleen Victoria Elrod, who also goes by Kathleen VIctoria Dodge Mrs., Kathleen Victoria Rumas, Kathleen Victoria Williams, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Indianapolis, Indiana.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Kathleen has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen Victoria Dodge Mrs. | Kathleen Victoria Rumas | Kathleen Victoria Williams
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.
ESTATE PLANNING COUNCIL OF INDIANAPOLIS POSITION: At Large Board Member NATURE: Board Member / Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 7050 E. 116th St, Suite 50, Fishers IN 46038, United States DESCRIPTION: The organization offers Networking and continuing education seminars for Attorneys, CPAs, Insurance Agents, CTFAs and CFPs
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Victoria Elrod's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Victoria Elrod'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
June 8, 2017 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Indianapolis Main 45 N Pennsylvania Street, Indianapolis, IN 46204RIA
BD
CRD#: 16986
Indianapolis, IN
Current
June 8, 2017 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Indianapolis Main 45 N Pennsylvania Street, Indianapolis, IN 46204RIA
BD
CRD#: 16986
Indianapolis, IN
Past
December 8, 2008 - December 19, 2016
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
INDIANAPOLIS, IN
Past
November 26, 2008 - October 5, 2010
HUNTINGTON WEALTH PLANNING ADVISORS
RIA
CRD#: 143114
INDIANAPOLIS, IN
Past
May 30, 2008 - December 19, 2016
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
INDIANAPOLIS, IN
Past
August 11, 2005 - June 20, 2007
OBS BROKERAGE SERVICES, INC.
BD
CRD#: 104281
WHITEHOUSE, OH
Past
February 23, 2005 - June 7, 2005
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
INDIANAPOLIS, IN
Past
August 6, 2004 - June 7, 2005
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
November 21, 2003 - July 12, 2004
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
INDIANAPOLIS, IN
Past
November 21, 2003 - July 12, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
April 24, 2003 - October 13, 2003
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
INDIANAPOLIS, IN
Past
June 29, 1998 - October 13, 2003
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
November 22, 1992 - February 22, 1995
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
October 19, 1988 - February 6, 1990
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
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
Indiana(6/8/2017)
IAR
Indiana(6/8/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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 | 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.
