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Greg J. Smith
THE HUNTINGTON INVESTMENT COMPANY
Elyria, OH 44035-5525
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CRD#: 3006458
GS
Professional summary
Greg James Smith is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Elyria, Ohio.
Greg is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Greg has worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 52, Series 14, Series 53, Series 24, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: Elyria Catholic High School POSITION: Assistant Coach NATURE: Sports / Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 10-20 SECURITIES TRADING HOURS: 0 START DATE: 10/5/2024 ADDRESS: 725 Gulf Road Elyria, Ohio 440035 DESCRIPTION: Work with high school students, coaching football.
CRS (Client Relationship Summary) - RIA
Click below to view Greg James Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Greg James Smith'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
September 30, 2024 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Broad And Court Streets 105 Court Street, Elyria, OH 44035-5525RIA
BD
CRD#: 16986
Elyria, OH
Current
September 26, 2024 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Broad And Court Streets 105 Court Street, Elyria, OH 44035-5525RIA
BD
CRD#: 16986
Elyria, OH
Past
October 22, 2014 - September 27, 2024
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
October 21, 2014 - September 27, 2024
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
January 5, 2007 - March 11, 2014
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
January 3, 2006 - March 11, 2014
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
May 17, 2000 - January 4, 2006
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
February 26, 1998 - May 22, 2000
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
Ohio(9/26/2024)
IAR
Ohio(9/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 16986Elyria, OH 44035-5525TRUST BUT VERIFY
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