Jeremy L. Dillon
Professional summary
Jeremy Lee Dillon was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeremy Lee Dillon was a registered financial advisor .
Jeremy is a previously registered financial advisor and started their career in finance in 2001. Jeremy had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2014 - July 21, 2015
THE HUNTINGTON INVESTMENT COMPANY
September 29, 2014 - July 21, 2015
THE HUNTINGTON INVESTMENT COMPANY
June 17, 2014 - September 17, 2014
CITIZENS SECURITIES, INC.
June 17, 2014 - September 17, 2014
CITIZENS SECURITIES, INC.
September 27, 2013 - June 17, 2014
PNC WEALTH MANAGEMENT LLC
September 27, 2013 - June 17, 2014
PNC WEALTH MANAGEMENT LLC
October 17, 2012 - September 27, 2013
THE HUNTINGTON INVESTMENT COMPANY
October 12, 2012 - September 27, 2013
THE HUNTINGTON INVESTMENT COMPANY
November 29, 2011 - October 11, 2012
LPL FINANCIAL LLC
November 22, 2011 - October 11, 2012
LPL FINANCIAL LLC
November 17, 2009 - November 23, 2011
FIFTH THIRD SECURITIES, INC.
April 27, 2009 - November 23, 2011
FIFTH THIRD SECURITIES, INC.
June 30, 2006 - April 14, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
June 3, 2005 - November 10, 2005
NATCITY INVESTMENTS, INC.
December 17, 2003 - June 1, 2005
VALIC FINANCIAL ADVISORS, INC.
August 8, 2003 - December 8, 2003
BANC ONE SECURITIES CORPORATION
November 2, 2001 - June 27, 2003
QUESTAR CAPITAL CORPORATION
Primary Firm SEC Registration
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
Contact information
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.
