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BS

Brian Stauffer

HUNTINGTON SECURITIES
Charlotte, NC 28280
Some features on this profile are disabled
CRD#: 3129458
BS

Professional summary

Brian Stauffer, who also goes by Brian Stauffer, Brian Wesley Stauffer, is a registered financial professional currently at HUNTINGTON SECURITIES, INC. located in Charlotte, North Carolina.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Stauffer | Brian Wesley Stauffer

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 Brian Stauffer'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

January 6, 2026 - Present

HUNTINGTON SECURITIES, INC.

Office #1: 101 S. Tryon St Suite 1810, Charlotte, NC 28280
BD
CRD#: 2261
Charlotte, NC
Past

November 3, 2021 - January 14, 2026

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
Fairfax, VA
Past

February 20, 2018 - November 4, 2021

COMPASS POINT RESEARCH & TRADING, LLC

BD
CRD#: 126258
WASHINGTON, DC
Past

August 26, 2003 - September 25, 2017

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
ARLINGTON, VA
Past

November 19, 1998 - August 29, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
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
Alabama
(1/8/2026)
RR
Arizona
(1/8/2026)
RR
Arkansas
(1/15/2026)
RR
California
(1/9/2026)
RR
Colorado
(1/8/2026)
RR
Connecticut
(1/6/2026)
RR
Florida
(1/6/2026)
RR
Georgia
(1/6/2026)
RR
Illinois
(1/12/2026)
RR
Indiana
(1/13/2026)
RR
Kentucky
(1/15/2026)
RR
Louisiana
(1/8/2026)
RR
Massachusetts
(1/6/2026)
RR
Michigan
(1/8/2026)
RR
Missouri
(1/6/2026)
RR
Montana
(1/8/2026)
RR
New Jersey
(1/9/2026)
RR
New Mexico
(1/9/2026)
RR
New York
(1/6/2026)
RR
North Carolina
(1/16/2026)
RR
Ohio
(1/6/2026)
RR
Oregon
(1/27/2026)
RR
Pennsylvania
(1/6/2026)
RR
Rhode Island
(1/9/2026)
RR
Tennessee
(1/9/2026)
RR
Texas
(1/14/2026)
RR
Utah
(1/9/2026)
RR
Virginia
(1/6/2026)
RR
West Virginia
(1/12/2026)
RR
Wisconsin
(1/7/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/9/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 10/19/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/11/2006
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)
PREMIUM
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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 (30 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
HOHENSTEIN, THOMASCFO3123815
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#: 2261Charlotte, NC 28280

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