DM
Daniel J. Mell
THE HUNTINGTON INVESTMENT COMPANY
Toledo, OH 43617
Some features on this profile are disabled
CRD#: 4506286
DM
Professional summary
Daniel Josef Mell is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Toledo, Ohio.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Daniel has worked at 7 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: Cardinal Stritch Catholic High School and Academy Board of Directors POSITION: Board Member NATURE: Not investment related, non-profit work, minimal hours, no compensation, no banking account privileges INVESTMENT RELATED: No NUMBER OF HOURS:0-5 SECURITIES TRADING HOURS: 0 START DATE: 8/29/2024 ADDRESS: 3225 Pickle Rd Oregon OH 43616 DESCRIPTION: Support the institutional advancement activities and programs of the school. Ensure quality offerings for all students in areas of Religious education, academic subjects, and extra curricular activities. Increase awareness and offerings of the school. Networking to obtain more active participation in alumni and community partners. In person meeting every other month.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Josef Mell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Josef Mell'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
May 31, 2016 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Saxon Square 3950 Mccord Rd., Toledo, OH 43617RIA
BD
CRD#: 16986
Toledo, OH
Current
May 31, 2016 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Saxon Square 3950 Mccord Rd., Toledo, OH 43617RIA
BD
CRD#: 16986
Toledo, OH
Past
April 20, 2011 - May 12, 2016
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
OREGON, OH
Past
April 20, 2011 - May 12, 2016
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
OREGON, OH
Past
February 3, 2006 - April 4, 2011
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
TOLEDO, OH
Past
February 2, 2006 - April 4, 2011
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
TOLEDO, OH
Past
August 25, 2005 - November 23, 2005
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
April 4, 2005 - August 18, 2005
IFMG SECURITIES, INC.
RIA
CRD#: 14416
LIVONIA, MI
Past
April 1, 2005 - August 18, 2005
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
August 20, 2003 - February 4, 2005
CHARTER ONE SECURITIES, INC.
RIA
CRD#: 13373
NOVI, MI
Past
August 19, 2003 - March 25, 2005
CHARTER ONE SECURITIES, INC.
BD
CRD#: 13373
CLEVELAND, OH
Past
February 10, 2003 - August 28, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 12, 2002 - December 31, 2002
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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
Arizona(5/21/2018)
RR
Florida(7/28/2016)
RR
Idaho(8/19/2016)
RR
Illinois(12/14/2016)
RR
Kentucky(8/19/2016)
RR
Maryland(8/19/2016)
RR
Massachusetts(10/23/2024)
RR
Michigan(6/7/2016)
RR
Minnesota(8/19/2016)
RR
Montana(3/17/2023)
RR
North Carolina(6/7/2016)
RR
Ohio(5/31/2016)
IAR
Ohio(5/31/2016)
RR
Pennsylvania(5/19/2020)
RR
South Carolina(8/19/2016)
RR
Texas(8/19/2016)
IAR
Texas(4/9/2025)
RR
Washington(10/12/2022)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986Toledo, OH 43617TRUST BUT VERIFY
Monitor Daniel Mell
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
