WR
Wendell A. Rounds
THE HUNTINGTON INVESTMENT COMPANY
Edgewood, KY 41017
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CRD#: 4331065
WR
Professional summary
Wendell Anthony Rounds is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Edgewood, Kentucky.
Wendell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Wendell has worked at 9 firms and has passed the Series 65, 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Wendell Anthony Rounds's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wendell Anthony Rounds'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
October 19, 2023 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Edgewood Banking Center 3103 Dixie Highway, Edgewood, KY 41017RIA
BD
CRD#: 16986
Edgewood, KY
Current
July 21, 2023 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Edgewood Banking Center 3103 Dixie Highway, Edgewood, KY 41017RIA
BD
CRD#: 16986
Edgewood, KY
Past
April 27, 2015 - August 4, 2022
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
FT. MITCHELL, KY
Past
March 5, 2012 - March 14, 2014
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
UNION, KY
Past
February 8, 2010 - February 9, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
ORLANDO, FL
Past
December 5, 2005 - August 13, 2008
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
JACKSONVILLE, FL
Past
March 21, 2005 - June 6, 2005
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
August 16, 2004 - March 21, 2005
BROWNCO, LLC
BD
CRD#: 1326
BOSTON, MA
Past
June 10, 2003 - August 18, 2004
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
November 5, 2002 - April 30, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 5, 2002 - April 30, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
February 16, 2001 - October 10, 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
Florida(10/18/2023)
RR
Indiana(11/16/2023)
RR
Kentucky(7/21/2023)
IAR
Kentucky(10/19/2023)
RR
Louisiana(5/27/2025)
IAR
Louisiana(6/2/2025)
RR
Mississippi(12/9/2024)
RR
North Carolina(9/4/2024)
RR
Ohio(10/18/2023)
RR
Pennsylvania(8/20/2024)
RR
Virginia(4/23/2025)
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#: 16986Edgewood, KY 41017TRUST BUT VERIFY
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