RM
Robert D. Moser
THE HUNTINGTON INVESTMENT COMPANY
North Canton, OH 44720
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CRD#: 2724718
RM
Professional summary
Robert D Moser, who also goes by Robert Dailey Moser, Robert Moser, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in North Canton, Ohio.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Dailey Moser | Robert Moser
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 Robert D Moser's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert D Moser'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
October 15, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Portage 4879 Portage Nw, North Canton, OH 44720RIA
BD
CRD#: 16986
North Canton, OH
Current
October 14, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Portage 4879 Portage Nw, North Canton, OH 44720RIA
BD
CRD#: 16986
North Canton, OH
Past
July 16, 2020 - October 13, 2021
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
RAVENNA, OH
Past
July 15, 2020 - October 13, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
RAVENNA, OH
Past
June 26, 2018 - July 16, 2020
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
AKRON, OH
Past
June 26, 2018 - July 16, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
AKRON, OH
Past
March 16, 2015 - January 31, 2017
EDWARD JONES
RIA
CRD#: 250
UNIONTOWN, OH
Past
February 23, 2015 - January 31, 2017
EDWARD JONES
BD
CRD#: 250
UNIONTOWN, OH
Past
February 6, 1997 - February 13, 2015
SCOTTRADE, INC.
BD
CRD#: 8206
CANTON, OH
Past
March 29, 1996 - November 7, 1996
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
Colorado(11/18/2022)
RR
Florida(10/14/2021)
RR
Kentucky(10/9/2025)
RR
Michigan(10/14/2021)
RR
Ohio(10/14/2021)
IAR
Ohio(10/15/2021)
RR
Oregon(10/14/2021)
RR
Pennsylvania(10/14/2021)
RR
Texas(3/20/2024)
IAR
Texas(3/20/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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 | 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
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Company Information
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986North Canton, OH 44720TRUST BUT VERIFY
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