Mark A. Richardson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Allan Richardson, who also goes by Mark Allan Richardson, Mark Richardson, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1998. Mark had worked at 8 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2020 - August 10, 2021
THE HUNTINGTON INVESTMENT COMPANY
February 11, 2020 - July 29, 2020
W&S BROKERAGE SERVICES, INC.
September 6, 2010 - July 8, 2011
FIFTH THIRD SECURITIES, INC.
August 30, 2010 - July 8, 2011
FIFTH THIRD SECURITIES, INC.
September 25, 2006 - January 21, 2009
STRATEGIC ADVISERS LLC
May 26, 2004 - August 11, 2006
STRATEGIC ADVISERS LLC
October 24, 2003 - January 21, 2009
FIDELITY BROKERAGE SERVICES LLC
June 2, 2003 - October 1, 2003
U.S. BANCORP INVESTMENTS, INC.
January 3, 2003 - May 22, 2003
BANC ONE SECURITIES CORPORATION
October 22, 1999 - November 13, 2002
FIDELITY BROKERAGE SERVICES LLC
January 3, 1998 - October 21, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
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
Exams
Series 6TO
Date: 2/11/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
