Amanda E. Mapes
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.
Amanda Elizabeth Mapes was a registered financial professional .
Amanda is a previously registered financial professional and started their career in finance in 1993. Amanda had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2017 - February 16, 2022
THE HUNTINGTON INVESTMENT COMPANY
September 21, 2017 - February 16, 2022
THE HUNTINGTON INVESTMENT COMPANY
March 8, 2016 - June 21, 2017
PRUCO SECURITIES, LLC.
December 9, 2015 - June 21, 2017
PRUCO SECURITIES, LLC.
September 16, 2014 - December 16, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
September 15, 2014 - December 16, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
March 6, 2009 - May 6, 2011
KEY INVESTMENT SERVICES LLC
January 26, 2009 - April 30, 2014
KEY INVESTMENT SERVICES LLC
July 1, 2004 - February 15, 2007
KEYBANC CAPITAL MARKETS INC.
February 10, 2004 - February 15, 2007
KEYBANC CAPITAL MARKETS INC.
October 2, 2002 - March 2, 2004
THE HUNTINGTON INVESTMENT COMPANY
December 16, 1996 - November 20, 1997
LOCUST STREET SECURITIES, INC.
November 22, 1995 - December 16, 1996
PRUDENTIAL EQUITY GROUP, LLC
November 8, 1993 - February 1, 1995
SOCIETY INVESTMENTS, 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
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 | 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.
