Jason R. Smoot
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.
Jason Robert Smoot, who also goes by Jay Smoot, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1994. Jason had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2018 - August 2, 2019
THE HUNTINGTON INVESTMENT COMPANY
August 9, 2018 - August 2, 2019
THE HUNTINGTON INVESTMENT COMPANY
February 10, 2017 - April 25, 2018
GLOBAL RETIREMENT PARTNERS LLC
August 24, 2016 - April 23, 2018
LPL FINANCIAL LLC
May 25, 2011 - June 2, 2014
PNC WEALTH MANAGEMENT LLC
May 24, 2011 - June 2, 2014
PNC WEALTH MANAGEMENT LLC
October 30, 2007 - August 14, 2009
FIFTH THIRD SECURITIES, INC.
October 30, 2007 - August 14, 2009
FIFTH THIRD SECURITIES, INC.
June 5, 2006 - October 19, 2007
KEY INVESTMENT SERVICES LLC
June 2, 2006 - October 19, 2007
KEY INVESTMENT SERVICES LLC
January 1, 2001 - May 24, 2006
NATCITY INVESTMENTS, INC.
March 27, 2000 - May 24, 2006
NATCITY INVESTMENTS, INC.
June 12, 1997 - January 7, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 2, 1995 - October 25, 1996
WATERMARK SECURITIES, INC.
April 12, 1994 - January 17, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current 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 | 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.
