Kenneth Diaz

HUNTINGTON SECURITIES

Columbus, OH 43231

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CRD#: 2849188

Professional summary

Kenneth Diaz, who also goes by Kenny Diaz, is a registered financial professional currently at HUNTINGTON SECURITIES, INC. located in Columbus, Ohio.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2015. Kenneth has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kenny Diaz

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.

***Spring Grove North HOA; Not Investment Related; Westerville, OH; President; No access to nor direct control of funds. Position is strictly oversight capacity to the Vaughan Group Ltd. The mgmt co directly controls fund for HOA.; Start Date: 09/28/2020; 2.5 hrs per month; na during trading hours..***Fixed Insurance; Investment Related; Dublin, OH; Agent; Fixed Life, Annuities, DI, Group, LTC, Health; Start Date: 06/01/2020; 2 hrs per month; 2 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Diaz'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®

None

Experience

Current

May 28, 2024 - Present

HUNTINGTON SECURITIES, INC.

Office #1: 5555 Cleveland Ave, Columbus, OH 43231

CRD#: 2261

Columbus, OH

Past

June 17, 2020 - December 31, 2023

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

Dublin, OH

Past

June 13, 2020 - December 31, 2023

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Dublin, OH

Past

November 14, 2018 - February 7, 2020

EDWARD JONES

RIA

CRD#: 250

WESTERVILLE, OH

Past

October 22, 2018 - February 7, 2020

EDWARD JONES

CRD#: 250

WESTERVILLE, OH

Past

April 28, 2015 - November 14, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Ohio
(5/28/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/13/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/12/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/28/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HUNTINGTON SECURITIES, INC.

HUNTINGTON CAPITAL MARKETS | HUTCHINSON, SHOCKEY, ERLEY & CO. | HUTCHINSON SHOCKEY ERLEY | HUNTINGTON SECURITIES, INC.

CRD#: 2261 / SEC#: , 8-5761

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

41 South High St, Columbus, OH 43287

Mailing Address

41 South High St, Columbus, OH 43287

Phone number

(312) 443-1560

Established

Delaware since 02/08/1957

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (29 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HUNTINGTON BANCSHARES INCORPORATED	DIRECT OWNER
BEEKMAN, TODD ANDREW	DIRECTOR	6291198
BORRELLI, MARK ROBERT	GENERAL COUNSEL/SECRETARY	6803711
COSTANZO, SAMANTHA ANN	DIRECTOR	4133695
DIBOWSKI, TERRA	HEAD OF BROKERAGE OPERATIONS	5468840
FITZSIMMONS, DAVID RAYMOND	HEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR	4245434
HERBERT, KATHERINE ELEANOR	CONTROLLER/FINOP	6412263
KLEINMAN, SCOTT DAVID	DIRECTOR	2357636
MILCETICH, MATTHEW LOUIS	PRESIDENT	6419334
SZWAGULAK, JOHN W III	CHIEF COMPLIANCE OFFICER	4033023
WALTHER, KATHLEEN	DIRECTOR	7858303

Disclosures

Regulatory Event

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kenneth Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Diaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

EDWARD JONES

EDWARD JONES

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/13/2018

Series 63

Date: 6/12/2015

SIE

Date: 10/1/2018

Series 7

Date: 4/28/2015

FINRA

Current Firm

HUNTINGTON SECURITIES, INC.

Contact information

FINRA licenses (29 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HUNTINGTON SECURITIES, INC.

TRUST BUT VERIFY

Contact information

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