Kenneth D. Shores
Professional summary
Kenneth D Shores, CFP®, ChFC®, CLU®, who also goes by Kenneth D Jr Shores, Kenneth Darryl Shores Jr, Kenneth Darryl Shores, Kenneth Shores, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in New Albany, Ohio.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kenneth has worked at 15 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth D Shores's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth D Shores's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 28, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #2: Bethel Road 1600 Bethel Rd., Columbus, OH 43220October 27, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Home Office Ops Osj - 41 South High 41 South High Street 4th Floor, Columbus, OH, 43215August 13, 2015 - October 26, 2021
MORGAN STANLEY
August 12, 2015 - October 26, 2021
MORGAN STANLEY
October 1, 2012 - August 12, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - August 12, 2015
J.P. MORGAN SECURITIES LLC
March 5, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 1, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 14, 2010 - October 25, 2010
CUSO FINANCIAL SERVICES, L.P.
April 6, 2010 - October 25, 2010
CUSO FINANCIAL SERVICES, L.P.
January 23, 2007 - August 19, 2008
MMC SECURITIES LLC
December 13, 2006 - August 19, 2008
MMC SECURITIES LLC
March 1, 2006 - July 10, 2006
INDEPENDENT FINANCIAL GROUP, LLC
September 3, 2004 - March 1, 2006
WORTHMARK FINANCIAL SERVICES, LLC
August 25, 2003 - August 23, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 25, 2003 - August 23, 2004
OSAIC FA, INC.
July 24, 2002 - November 11, 2002
LOCUST STREET SECURITIES, INC.
March 27, 2002 - June 12, 2002
CAL FED INVESTMENTS
April 4, 2001 - December 10, 2001
NATIONAL PLANNING CORPORATION
July 20, 1998 - April 2, 2001
WAMU INVESTMENTS, INC.
August 8, 1997 - June 29, 1998
SIGNATOR INVESTORS, 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
(10/28/2021)
(10/28/2021)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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 | 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
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.
