KK
Katherine M. Kellen
THE HUNTINGTON INVESTMENT COMPANY
Denver, CO 80206
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CRD#: 2890495
KK
Professional summary
Katherine Miller Kellen, CFP®, who also goes by Katie Kellen, Katherine Allen Miller, Katie Miller, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Denver, Colorado.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Katherine has worked at 4 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katie Kellen | Katherine Allen Miller | Katie Miller
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.
NAME: Rental Property POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2024 ADDRESS: 5053 Snowshoe Lane #A Vail CO 801657 DESCRIPTION: short term rental of secondary home via third party rental company (Vacasa). Might be only high season rental opportunities- 6-12 times a year. NAME: Rental Property POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 05/06/2024 ADDRESS: 9232 E. Whitehorn Circle, Scottsdale, AZ 85266 DESCRIPTION: rental will be managed by a third party. NAME: Lotus Network POSITION: Board member NATURE: Board Member / Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 10/1/2025 ADDRESS: 77 Charlou Circle Cherry Hills Village, CO 80111 DESCRIPTION:�attend monthly board meetings, help set strategic vision, attend a community to empower and connect women. 3 year term
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Miller Kellen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katherine Miller Kellen'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®
CFP®
Start date: 2006
Experience
Current
August 23, 2022 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Cherry Creek North 2787 E 2nd Ave, Denver, CO 80206RIA
BD
CRD#: 16986
Denver, CO
Current
August 23, 2022 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Cherry Creek North 2787 E 2nd Ave, Denver, CO 80206RIA
BD
CRD#: 16986
Denver, CO
Past
January 3, 2011 - July 27, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DENVER, CO
Past
January 3, 2011 - July 27, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DENVER, CO
Past
March 26, 2002 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
DENVER, CO
Past
February 11, 2002 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
DENVER, CO
Past
July 18, 1997 - July 1, 1998
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
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(8/23/2022)
IAR
Colorado(8/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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.
