Eric D. Jones

CRD#: 4214311

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Professional summary

Eric Dewayne Jones was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Eric is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Eric had worked at 5 firms, which includes THE HUNTINGTON INVESTMENT COMPANY, CHASE INVESTMENT SERVICES CORP., BANC ONE SECURITIES CORPORATION, AMERIPRISE ADVISOR SERVICES INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Eric D Jones

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 1, 2009 - January 12, 2011

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

PATASKALA, OH

Past

July 6, 2005 - January 27, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

LANCASTER, OH

Past

July 6, 2005 - January 27, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

LANCASTER, OH

Past

January 14, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

LANCASTER, OH

Past

January 3, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

October 23, 2001 - December 20, 2002

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

August 21, 2000 - October 25, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

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)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/21/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/31/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 31

Date: 9/18/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/18/2000

General Securities Representative Examination

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THE HUNTINGTON INVESTMENT COMPANY ADV PART 2A APPENDIX 1 (7/21/2025)

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	MUNICIPAL PRINCIPAL	5353459
BRUNNER, MICHAEL EVANS	ROSFP	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	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.

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Advisor Monitoring

Firm Stability Insights

Eric D. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

AMERIPRISE ADVISOR SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

THE HUNTINGTON INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/2000

Series 65

Date: 8/31/2000

Series 31

Date: 9/18/2000

Series 7

Date: 8/18/2000

Current Firm

THE HUNTINGTON INVESTMENT COMPANY

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

THE HUNTINGTON INVESTMENT COMPANY

TRUST BUT VERIFY

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