William N. Bernardi

THE HUNTINGTON INVESTMENT COMPANY

Cleveland, OH 44114

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CRD#: 4545186

Professional summary

William Newell Bernardi, who also goes by William Newell Bernardi Jr, William Newell Bernardi, William Mewell Bernardi, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Cleveland, Ohio.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. William has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William Newell Bernardi Jr | William Newell Bernardi | William Mewell Bernardi

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) - RIA

Click below to view William Newell Bernardi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William Newell Bernardi's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 10, 2023 - Present

THE HUNTINGTON INVESTMENT COMPANY

Office #1: Public Square 200 Public Square, Cleveland, OH 44114

RIA

CRD#: 16986

Cleveland, OH

Current

May 10, 2023 - Present

THE HUNTINGTON INVESTMENT COMPANY

Office #1: Public Square 200 Public Square, Cleveland, OH 44114

RIA

CRD#: 16986

Cleveland, OH

Past

February 1, 2010 - April 28, 2023

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

CLEVELAND, OH

Past

January 26, 2010 - April 28, 2023

KEY INVESTMENT SERVICES LLC

CRD#: 136300

CLEVELAND, OH

Past

November 16, 2007 - January 7, 2010

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

WILLOUGHBY, OH

Past

November 15, 2007 - January 7, 2010

FIFTH THIRD SECURITIES, INC.

CRD#: 628

WILLOUGHBY, OH

Past

June 7, 2006 - November 13, 2007

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

BEECHWOOD, OH

Past

June 6, 2006 - November 13, 2007

NATCITY INVESTMENTS, INC.

CRD#: 17490

BEECHWOOD, OH

Past

April 10, 2006 - May 17, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WESTLAKE, OH

Past

April 10, 2006 - May 17, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WESTLAKE, OH

Past

August 27, 2004 - January 19, 2006

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

CLEVELAND, OH

Past

August 26, 2004 - January 19, 2006

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

April 26, 2004 - May 27, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

January 13, 2003 - April 21, 2004

FERRIS, BAKER WATTS, LLC

RIA

CRD#: 285

BEACHWOOD, OH

Past

December 18, 2002 - April 21, 2004

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Ohio
(5/10/2023)

IAR

Ohio
(5/10/2023)

Washington
(10/3/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/10/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/2002

General Securities Representative Examination

SRO Registrations

FINRA

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	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.

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Advisor Monitoring

Firm Stability Insights

William N. Bernardi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Newell Bernardi's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view William Newell Bernardi's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE HUNTINGTON INVESTMENT COMPANY

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

EDWARD JONES

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

Primary Firm SEC Registration

THE HUNTINGTON INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 1/10/2003

SIE

Date: 10/1/2018

Series 7

Date: 12/17/2002

FINRA

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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