SW
Scott A. Wertz
THE HUNTINGTON INVESTMENT COMPANY
Melrose Park, IL 60160
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CRD#: 2154685
SW
Professional summary
Scott Allen Wertz is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Melrose Park, Illinois.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Scott has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 8 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Allen Wertz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Allen Wertz'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
February 1, 2017 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Melrose Park North Ave 1415 W North Ave, Melrose Park, IL 60160RIA
BD
CRD#: 16986
Melrose Park, IL
Current
February 1, 2017 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Melrose Park North Ave 1415 W North Ave, Melrose Park, IL 60160RIA
BD
CRD#: 16986
Melrose Park, IL
Past
September 18, 2013 - February 1, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHICAGO, IL
Past
September 18, 2013 - February 1, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
CHICAGO, IL
Past
March 11, 2013 - September 18, 2013
FIRSTMERIT ADVISORS, INC.
RIA
CRD#: 125249
HILLSIDE, IL
Past
March 11, 2013 - September 18, 2013
FIRSTMERIT FINANCIAL SERVICES, INC
BD
CRD#: 149680
HILLSIDE, IL
Past
March 9, 2010 - March 12, 2013
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
ST. CHARLES, IL
Past
March 9, 2010 - March 12, 2013
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
ST. CHARLES, IL
Past
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
DARIEN, IL
Past
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DARIEN, IL
Past
March 9, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
DARIEN, IL
Past
March 9, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
DARIEN, IL
Past
January 21, 2003 - January 26, 2007
LASALLE FINANCIAL SERVICES, INC.
RIA
CRD#: 20373
SCHAUMBURG, IL
Past
January 21, 2003 - January 26, 2007
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
SCHAUMBURG, IL
Past
July 30, 2001 - January 22, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
OAK BROOK, IL
Past
July 9, 2001 - January 22, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 31, 1995 - July 16, 2001
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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
Alabama(12/18/2024)
RR
Arizona(3/15/2021)
RR
Florida(2/7/2017)
RR
Illinois(2/1/2017)
IAR
Illinois(2/1/2017)
RR
Indiana(2/1/2017)
RR
Michigan(9/1/2017)
RR
Minnesota(3/13/2025)
RR
Missouri(10/14/2022)
RR
Nevada(3/22/2017)
RR
New Mexico(1/31/2025)
RR
Tennessee(1/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/20/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
