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LF

Laura Fazio

HUNTINGTON SECURITIES
Columbus, OH 43287
Some features on this profile are disabled
CRD#: 3104356
LF

Professional summary

Laura Fazio, who also goes by Laura Grace Fazio, is a registered financial professional currently at HUNTINGTON SECURITIES, INC. located in Columbus, Ohio.

Laura is registered as a RR (Registered Representative) and started their career in finance in 1999. Laura has worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laura Grace Fazio

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Laura Fazio'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®
None

Experience

Current

March 9, 2021 - Present

HUNTINGTON SECURITIES, INC.

Office #1: 41 South High Street 5th Floor, Columbus, OH 43287
BD
CRD#: 2261
Columbus, OH
Past

March 10, 2020 - June 15, 2020

SANTANDER INVESTMENT SECURITIES INC.

BD
CRD#: 37216
NEW YORK, NY
Past

January 10, 2018 - June 7, 2018

HOLLISTER ASSOCIATES, LLC

BD
CRD#: 173366
MOUNT PLEASANT, SC
Past

February 6, 2009 - June 8, 2010

ALADDIN CAPITAL LLC

BD
CRD#: 103766
STAMFORD, CT
Past

August 15, 2007 - July 15, 2008

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

January 9, 2003 - July 26, 2007

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

May 23, 2002 - January 6, 2003

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

BD
CRD#: 24074
NEW YORK, NY
Past

November 23, 1999 - May 16, 2002

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(4/20/2022)
RR
Connecticut
(4/21/2022)
RR
Illinois
(7/11/2022)
RR
Louisiana
(4/20/2022)
RR
Montana
(4/20/2022)
RR
New Jersey
(6/2/2021)
RR
New Mexico
(4/21/2022)
RR
New York
(4/21/2022)
RR
North Carolina
(4/22/2022)
RR
Ohio
(4/20/2022)
RR
Pennsylvania
(4/21/2022)
RR
Texas
(4/20/2022)
RR
Wisconsin
(4/20/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 6/1/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 1/10/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/30/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HUNTINGTON SECURITIES, INC.
HUNTINGTON CAPITAL MARKETS | HUTCHINSON, SHOCKEY, ERLEY & CO. | HUTCHINSON SHOCKEY ERLEY | HUNTINGTON SECURITIES, INC.

CRD#: 2261 / SEC#: , 8-5761

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
41 South High St, Columbus, OH 43287
Mailing Address
41 South High St, Columbus, OH 43287
Phone number
(312) 443-1560
Established
Delaware since 02/08/1957
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HUNTINGTON BANCSHARES INCORPORATEDDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
BORRELLI, MARK ROBERTGENERAL COUNSEL/SECRETARY6803711
COSTANZO, SAMANTHA ANNDIRECTOR4133695
DIBOWSKI, TERRAHEAD OF BROKERAGE OPERATIONS5468840
FITZSIMMONS, DAVID RAYMONDHEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR4245434
HERBERT, KATHERINE ELEANORCONTROLLER/FINOP6412263
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISPRESIDENT6419334
SZWAGULAK, JOHN W IIICHIEF COMPLIANCE OFFICER4033023
WALTHER, KATHLEENDIRECTOR7858303

Disclosures

Regulatory Event8

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

HUNTINGTON SECURITIES, INC.

CRD#: 2261Columbus, OH 43287

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