David A. Hawkins
THE HUNTINGTON INVESTMENT COMPANY
St. Joseph, MI 49085
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CRD#: 4007800
Professional summary
David Andrew Hawkins, CFP®, ChFC®, who also goes by David A. Hawkins, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in St. Joseph, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David A. Hawkins
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.
D&H RENTALS LLC POSITION: Sole Member NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 05/01/1997 ADDRESS: 4026 Hawkins Path, St. Joseph MI 49085, United States DESCRIPTION: Buy, Sell and Rent Real Estate NAME: D&H Rentals LLC POSITION: Appraiser NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 7/28/1994 ADDRESS: 4026 Hawkins Path, St. Joseph, MI 49085 DESCRIPTION: Real Estate Appraisal License #1203003336 NAME: D&H Rentals LLC POSITION: Real Estate sales/manager for D&H Rental LLC NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 1/6/2000 ADDRESS: 4026 Hawkins Path, St. Joseph, MI 49085 DESCRIPTION: Managing rental properties NAME: D&H Rentals LLC POSITION: Licensed contractor for D&H Rentals LLC NATURE: Building/Home renovation INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 6/8/1994 ADDRESS: 4026 Hawkins Path, St. Joseph MI 49085 DESCRIPTION: Managing building and renovation projects
CRS (Client Relationship Summary) - RIA
Click below to view David Andrew Hawkins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Andrew Hawkins'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®
CFP®
Start date: 2012
Experience
Current
October 14, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Saint Joseph Court Place 720 Pleasant Street, St. Joseph, MI 49085RIA
BD
CRD#: 16986
St. Joseph, MI
Current
October 14, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Saint Joseph Court Place 720 Pleasant Street, St. Joseph, MI 49085RIA
BD
CRD#: 16986
St. Joseph, MI
Past
January 21, 2014 - October 13, 2021
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ST. JOSEPH, MI
Past
October 17, 2003 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
ST JOSEPH, MI
Past
October 17, 2003 - October 13, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST JOSEPH, MI
Past
January 27, 2003 - October 20, 2003
BNY MELLON SECURITIES LLC
BD
CRD#: 47268
JERSEY CITY, NJ
Past
January 8, 2002 - January 7, 2003
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
September 14, 1999 - January 17, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Alabama(9/9/2022)
RR
Arizona(10/14/2021)
RR
Colorado(8/2/2024)
RR
Florida(10/14/2021)
RR
Georgia(10/14/2021)
RR
Illinois(10/14/2021)
RR
Indiana(10/14/2021)
RR
Michigan(10/14/2021)
IAR
Michigan(10/14/2021)
RR
New York(10/14/2021)
RR
North Carolina(10/27/2021)
RR
Ohio(10/15/2021)
RR
South Carolina(10/4/2022)
RR
Tennessee(6/13/2025)
RR
Texas(10/14/2021)
IAR
Texas(10/14/2021)
RR
Washington(11/18/2022)
RR
Wisconsin(10/14/2021)
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)
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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
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Company Information
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986St. Joseph, MI 49085TRUST BUT VERIFY
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