KM
Kurt A. Marlow
THE HUNTINGTON INVESTMENT COMPANY
Mentor, OH 44060
Some features on this profile are disabled
CRD#: 3013266
KM
Professional summary
Kurt Allen Marlow, who also goes by Kurt Marlow, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Mentor, Ohio.
Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kurt has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kurt Marlow
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.
MADISON YOUTH BASEBALL & FASTPITCH SOFTBALLDISON OH 44057 POSITION: Head of Field Maintenance NATURE: Board Member / Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2017 ADDRESS: 1747 Hubbard Rd, Madison OH 44057, United States DESCRIPTION: Youth baseball and softball league consisting of 300 kids, 75 coaches and a board of 8 volunteers NAME: Deepwood Industries POSITION: Board Member / Committee Member NATURE: Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 12/1/2024 ADDRESS: 8550 Tyler Blvd. Mentor, OH 44060 DESCRIPTION: Board Member only attend board member meetings and events.
CRS (Client Relationship Summary) - RIA
Click below to view Kurt Allen Marlow's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kurt Allen Marlow'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
February 1, 2017 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Neoh Osj - Mentor 7800 Reynolds Avenue, Mentor, OH 44060RIA
BD
CRD#: 16986
Mentor, OH
Current
February 1, 2017 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Neoh Osj - Mentor 7800 Reynolds Avenue, Mentor, OH 44060RIA
BD
CRD#: 16986
Mentor, OH
Past
September 18, 2013 - February 1, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
MENTOR, OH
Past
September 18, 2013 - February 1, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
MENTOR, OH
Past
January 25, 2010 - September 18, 2013
FIRSTMERIT ADVISORS, INC.
RIA
CRD#: 125249
AKRON, OH
Past
January 14, 2010 - September 18, 2013
FIRSTMERIT FINANCIAL SERVICES, INC
BD
CRD#: 149680
STRONGSVILLE, OH
Past
May 30, 2007 - January 22, 2010
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
CHARDON, OH
Past
May 29, 2007 - January 14, 2010
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
CHARDON, OH
Past
May 7, 2003 - May 18, 2007
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
WILLOUGHBY HILLS, OH
Past
April 30, 2003 - May 18, 2007
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WILLOUGHBY HILLS, OH
Past
December 20, 2001 - April 30, 2003
BNY MELLON SECURITIES LLC
BD
CRD#: 47268
JERSEY CITY, NJ
Past
March 16, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 16, 1998 - January 15, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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(2/1/2017)
IAR
Ohio(2/1/2017)
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
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986Mentor, OH 44060TRUST BUT VERIFY
Monitor Kurt Marlow
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
