HK
Heather Katzenmeyer
THE HUNTINGTON INVESTMENT COMPANY
Cuyahoga Falls, OH 44221
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CRD#: 3085837
HK
Professional summary
Heather Katzenmeyer, who also goes by Heather Michelle Katzenmeyer, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Cuyahoga Falls, Ohio.
Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Heather has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Heather Michelle Katzenmeyer
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Heather Katzenmeyer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Heather Katzenmeyer'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
March 3, 2022 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Falls Center 2305 Second St, Cuyahoga Falls, OH 44221RIA
BD
CRD#: 16986
Cuyahoga Falls, OH
Current
March 2, 2022 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Falls Center 2305 Second St, Cuyahoga Falls, OH 44221RIA
BD
CRD#: 16986
Cuyahoga Falls, OH
Past
September 24, 2021 - February 22, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Akron, OH
Past
September 24, 2021 - February 22, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
AKRON, OH
Past
November 19, 2020 - September 20, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AKRON, OH
Past
January 4, 2019 - December 31, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AKRON, OH
Past
February 3, 2017 - December 31, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AKRON, OH
Past
December 5, 2013 - December 31, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AKRON, OH
Past
September 17, 2013 - September 20, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
AKRON, OH
Past
February 12, 2013 - June 28, 2013
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HUDSON, OH
Past
January 19, 2007 - February 5, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
FAIRLAWN, OH
Past
May 25, 2000 - February 2, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
AKRON, OH
Past
July 29, 1999 - March 28, 2000
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
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(3/3/2022)
IAR
Ohio(3/3/2022)
Exams
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 | 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.
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Company Information
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986Cuyahoga Falls, OH 44221TRUST BUT VERIFY
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