EF
Emily E. Ferguson
THE HUNTINGTON INVESTMENT COMPANY
Cleveland, OH 44114
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CRD#: 3107040
EF
Professional summary
Emily Elizabeth Ferguson, who also goes by Emily E Ferguson, Emily E Hargrove, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Cleveland, Ohio.
Emily is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Emily has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Emily E Ferguson | Emily E Hargrove
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.
ARBONNE INC; DIRECT SALES OF PERSONAL CARE PRODUCTS. 40 HRS A MONTH, 0 HOURS DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Emily Elizabeth Ferguson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Emily Elizabeth Ferguson'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 19, 2024 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Public Square 200 Public Square, Cleveland, OH 44114RIA
BD
CRD#: 16986
Cleveland, OH
Current
March 19, 2024 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Public Square 200 Public Square, Cleveland, OH 44114RIA
BD
CRD#: 16986
Cleveland, OH
Past
May 12, 2014 - January 20, 2023
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
May 12, 2014 - January 20, 2023
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
April 18, 2012 - May 29, 2012
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
DALLAS, TX
Past
September 22, 2011 - May 29, 2012
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
January 24, 2011 - August 5, 2011
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
December 6, 2010 - August 5, 2011
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
January 3, 2006 - October 20, 2009
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
July 11, 2000 - January 4, 2006
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(3/19/2024)
IAR
Ohio(3/19/2024)
Exams
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
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 | 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.
