MG
Michael T. Gustafson
THE HUNTINGTON INVESTMENT COMPANY
Chicago, IL 60601
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CRD#: 4043311
MG
Professional summary
Michael Todd Gustafson, CFP® is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Chicago, Illinois.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
NAME: Cosley Zoo Foundation POSITION: Board / Commitee Member NATURE: Charitable Zoo INVESTMENT RELATED: No NUMBER OF HOURS: 5-10 SECURITIES TRADING HOURS: 5-10 START DATE: 1/1/2025 ADDRESS: 1356 N Gary Avenue Wheaton, IL 60187 DESCRIPTION: To serve as leaders in the community championing the mission f Cosley Zoo; to assist with, support, and participate in the Zoo's established fundraising events, and to encourage charitable giving to position the Zoo to achieve its vision and maximum impact. PROFESSIONAL NETWORKING ORGANIZATION POSITION: I hold no title or position NATURE: Member INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 08/14/2012 ADDRESS: 1018 W Madison St., Suite 9, Chicago IL 60607, United States DESCRIPTION: The DuPage County Estate Planning Council membership consists of professionals from certified public accountants, financial advisors, attorney's and trust officers meet regularly to improve their skills and stay abreast of the latest developments in the estate planning field. PRIVATE DIRECTORS ASSOCIATION POSITION: Member NATURE: Professional Networking Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2017 ADDRESS: 20960 Frankfort Square Road, Suite B, Frankfort IL 60423, United States DESCRIPTION: Professional networking organization whose mission is creating, sustaining and enhancing Private Company value through the active use of Boards of Directors and Advisory Boards. They advocate for excellent practices in board formation and governance. They provide a national network where executives and professionals interested in board service can find and meet with those interested in securing exceptional board members.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Todd Gustafson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Todd Gustafson'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: 2000
Experience
Current
April 19, 2017 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Lasalle Office 222 N Lasalle Street, Suite 130, Chicago, IL 60601RIA
BD
CRD#: 16986
Chicago, IL
Current
April 19, 2017 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Lasalle Office 222 N Lasalle Street, Suite 130, Chicago, IL 60601RIA
BD
CRD#: 16986
Chicago, IL
Past
May 3, 2016 - February 28, 2017
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
NAPERVILLE, IL
Past
May 3, 2016 - February 28, 2017
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
NAPERVILLE, IL
Past
February 11, 2013 - December 17, 2015
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
OAKBROOK, IL
Past
November 28, 2012 - December 17, 2015
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
OAKBROOK, IL
Past
September 4, 2008 - September 27, 2011
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
HINSDALE, IL
Past
February 22, 2002 - April 28, 2004
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
January 10, 2000 - November 21, 2001
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
Illinois(4/19/2017)
IAR
Illinois(4/19/2017)
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
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.
