DT
David J. Tupper
THE HUNTINGTON INVESTMENT COMPANY
Traverse City, MI 49686
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CRD#: 2490740
DT
Professional summary
David John Tupper, who also goes by David Tupper, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Traverse City, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Tupper
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.
CURVY'S STORAGE POSITION: non-paid help NATURE: Occasional Errand Boy INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2016 ADDRESS: 1245 Gold Ct, Traverse City MI 49696, United States DESCRIPTION: My wife purchased a 40x80 pole barn years ago to store our toys AND make a little money storing other folks toys and called it Curvy's Storage. The building is in her LLC that is sole member with her being the sole member. I simply go let people in and let them out when she needs help....maybe 3-5 times a year. GRAND TRAVERSE INDUSTRIES POSITION: Board member NATURE: Board Member / Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2021 ADDRESS: 2170 Traversefield Dr, Traverse City MI 49686, United States DESCRIPTION: A non-profit company that employs mentally and physically disabled folks to earn a wage doing simple manual labor such as plastic bag production, cleaning offices, and industrial assembly. NAME: Munson Hospital Foundation Board of Directors POSITION: Board member NATURE: no duties. It is a non-voting board. INVESTMENT RELATED: no NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 4/12019 ADDRESS: 1105 Sixth St. Traverse City, MI 49684 DESCRIPTION: no duties. It is a non-voting board. Responsible to attend 10 meetings per year which are largely virtual and one in person. VERY easy board to be on for the visibility in the community. NAME: Tups Classics, LLC POSITION: Owner NATURE:buying, transporting, and selling classic cars INVESTMENT RELATED: No NUMBER OF HOURS:0-5 SECURITIES TRADING HOURS: 0 START DATE: 5/12/2025 ADDRESS: 9950 E Traverse HWY, Traverse City, MI 49684 DESCRIPTION:�buying, transporting, and selling classic cars maybe once a year. Last year (2024) there was no activity
CRS (Client Relationship Summary) - RIA
Click below to view David John Tupper's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David John Tupper'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 24, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: 625 S Garfield Ave., Traverse City, MI 49686RIA
BD
CRD#: 16986
Traverse City, MI
Current
February 23, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Wmi And Cmi Osj - Byron Center 2445 84th Street Sw, Byron Center, MI 49315RIA
BD
CRD#: 16986
Byron Center, MI
Past
February 22, 2005 - February 12, 2021
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
GRAND RAPIDS, MI
Past
May 2, 2001 - February 12, 2021
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
GRAND RAPIDS, MI
Past
February 11, 2000 - May 2, 2001
OLD KENT FINANCIAL ADVISORS
BD
CRD#: 17039
GRAND RAPIDS, MI
Past
October 24, 1994 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
October 24, 1994 - February 9, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
July 26, 1994 - September 7, 1994
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
IAR
Michigan(2/24/2021)
RR
Michigan(2/25/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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 | 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
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Company Information
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986Traverse City, MI 49686TRUST BUT VERIFY
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