SM
Scott Metz
THE HUNTINGTON INVESTMENT COMPANY
Moon Twp, PA 15108
Some features on this profile are disabled
CRD#: 3273699
SM
Professional summary
Scott Metz, who also goes by Scott Michael Metz, Scott Metz, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Moon Twp, Pennsylvania.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Michael Metz | Scott Metz
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.
Insurance Agent - Start Date: 10/2019 - Non-investment Related - Insurance lines of business: Life Disability Health - Hours/per week during trading hours: 20
CRS (Client Relationship Summary) - RIA
Click below to view Scott Metz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Metz'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
May 15, 2023 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Moon Township 1007 Beaver Grade Road, Moon Twp, PA 15108RIA
BD
CRD#: 16986
Moon Twp, PA
Current
May 15, 2023 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Moon Township 1007 Beaver Grade Road, Moon Twp, PA 15108RIA
BD
CRD#: 16986
Moon Twp, PA
Past
October 21, 2019 - May 4, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
PITTSBURGH, PA
Past
October 21, 2019 - May 4, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
PITTSBURGH, PA
Past
December 7, 2017 - October 8, 2019
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
PITTSBURGH, PA
Past
December 7, 2017 - October 8, 2019
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
PITTSBURGH, PA
Past
April 12, 2016 - December 20, 2017
TD AMERITRADE, INC.
RIA
CRD#: 7870
PITTSBURGH, PA
Past
April 12, 2016 - December 20, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Pittsburgh, PA
Past
April 12, 2016 - December 20, 2017
TD AMERITRADE, INC.
BD
CRD#: 7870
PITTSBURGH, PA
Past
June 11, 2014 - February 19, 2016
INTEGRITY FUNDS DISTRIBUTOR, LLC
BD
CRD#: 26293
MINOT, ND
Past
August 6, 2012 - June 11, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
MOON TOWNSHIP, PA
Past
August 6, 2012 - June 11, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
MOON TOWNSHIP, PA
Past
February 22, 2012 - July 17, 2012
WADDELL & REED
BD
CRD#: 866
PITTSBURGH, PA
Past
October 4, 2011 - November 3, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CANONSBURG, PA
Past
September 23, 2011 - November 3, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CANONSBURG, PA
Past
May 22, 2000 - September 15, 2011
CALVERT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 37527
BETHESDA, MD
Past
August 12, 1999 - December 14, 1999
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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
Florida(5/19/2023)
RR
Ohio(5/19/2023)
RR
Pennsylvania(5/15/2023)
IAR
Pennsylvania(5/15/2023)
RR
West Virginia(5/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
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 | 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.
