Roman Berkusenko
THE HUNTINGTON INVESTMENT COMPANY
Mount Prospect, IL 60056
Some features on this profile are disabled
CRD#: 4728816
Professional summary
Roman Berkusenko, CFP® is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Mount Prospect, Illinois.
Roman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Roman has worked at 5 firms and has passed the Series 66, SIE and Series 7 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: eBay storefront POSITION: Co-Owner NATURE: Online collectible store INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 1/1/2025 ADDRESS: 4361 Exeter Ln, Northbrook, IL, 60062 DESCRIPTION: eBay storefront that sells collectibles, household items, artwork, parts, clothing, etc. NAME: Rental Property POSITION: Owner NATURE: Rental property INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 3/3/2025 ADDRESS: 901 W Madison St, Unit 722, Chicago, IL 60607 DESCRIPTION: I am in the process of emptying out and will be renting out my condominium in Chicago, IL. I will also need to establish and LLC and open a bank account for that LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Roman Berkusenko's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roman Berkusenko'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®
CFP®
Start date: 2016
Experience
Current
January 23, 2025 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Mount Prospect North 50 N Main Street, Mount Prospect, IL 60056RIA
BD
CRD#: 16986
Mount Prospect, IL
Current
January 23, 2025 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Mount Prospect North 50 N Main Street, Mount Prospect, IL 60056RIA
BD
CRD#: 16986
Mount Prospect, IL
Past
October 18, 2022 - January 19, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Skokie, IL
Past
October 18, 2022 - January 19, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Skokie, IL
Past
August 19, 2021 - May 16, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
LOMBARD, IL
Past
July 29, 2021 - May 16, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LOMBARD, IL
Past
July 1, 2013 - July 1, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
DEERFIELD, IL
Past
July 1, 2013 - July 1, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
DEERFIELD, IL
Past
March 8, 2013 - April 1, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CHICAGO, IL
Past
March 8, 2013 - April 1, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CHICAGO, IL
Past
December 10, 2012 - January 4, 2013
EDWARD JONES
RIA
CRD#: 250
NORTHBROOK, IL
Past
September 27, 2012 - January 4, 2013
EDWARD JONES
BD
CRD#: 250
NORTHBROOK, IL
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
Illinois(1/23/2025)
IAR
Illinois(1/23/2025)
RR
Texas(8/28/2025)
IAR
Texas(8/28/2025)
RR
Wisconsin(5/21/2025)
Exams
State Security Law 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 | 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.
