MC
Mindy Carr
THE HUNTINGTON INVESTMENT COMPANY
Toledo, OH 43604
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CRD#: 4133710
MC
Professional summary
Mindy Carr, who also goes by Mindy Nicole Allum, Mindy Nicole Carr, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Toledo, Ohio.
Mindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Mindy has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mindy Nicole Allum | Mindy Nicole Carr
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.
AW HIGH SCHOOL HOCKEY CLUB POSITION: Board President NATURE: Board Member / Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2020 ADDRESS: 5967 Finzel Rd., Whitehouse OH 43571, United States DESCRIPTION: High School JV and V hockey teams playing for Anthony Wayne high school
CRS (Client Relationship Summary) - RIA
Click below to view Mindy Carr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mindy Carr'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
July 14, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Nwo - Toledo - Corporate 519 Madison Ave., Toledo, OH 43604RIA
BD
CRD#: 16986
Toledo, OH
Current
July 14, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Nwoh And Cmi Osj - Lambertville 3270 Sterns Rd, Lambertville, MI 48144RIA
BD
CRD#: 16986
Lambertville, MI
Past
September 10, 2014 - July 8, 2021
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
TOLEDO, OH
Past
September 10, 2014 - July 8, 2021
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
TOLEDO, OH
Past
August 7, 2007 - September 12, 2014
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
NORTHWOOD, OH
Past
August 1, 2007 - September 12, 2014
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
NORTHWOOD, OH
Past
January 13, 2005 - August 1, 2007
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
MONROEVILLE, PA
Past
January 3, 2005 - August 1, 2007
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
MONROEVILLE, PA
Past
August 27, 2002 - December 1, 2004
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Past
December 14, 2000 - August 9, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(7/14/2021)
IAR
Ohio(7/14/2021)
Exams
State Security Law Exam
State Security Law 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 | BOARD MEMBER | 4621076 |
| HOLDING, MELISSA | DIRECTOR OF WEALTH MANAGEMENT | 4621076 |
| LOUGH, SHAWN PATRICK | BOARD MEMBER | 6356321 |
| MIROBALLI, MICHAEL | CHIEF OPERATING OFFICER | 1545242 |
| MIROBALLI, MICHAEL | PRESIDENT | 1545242 |
| MIROBALLI, MICHAEL | BOARD MEMBER | 1545242 |
| POLIVKA, ALEX C | AML OFFICER | 6270624 |
| REBER, AARON | BOARD MEMBER | 7793642 |
| RICHARDSON, STEPHEN MONROE | CHIEF FINANCIAL OFFICER | 6260539 |
| RICHARDSON, STEPHEN MONROE | FINOP | 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.
