SW
Steven L. Worsham
THE HUNTINGTON INVESTMENT COMPANY
Dover, OH 44622
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CRD#: 4770804
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Professional summary
Steven Lewis Worsham, who also goes by Steve L Worsham, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Dover, Ohio.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Steven has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve L Worsham
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.
Kandstamps 300 East 20th St Dover OH 44622 title: owner start date: 7/1/2017 investment related: N description: buy and sell postage stamps online duties: listing stamps, mailing out stamps that have been sold. hours per month: 4 hours during trading hours: 0 compensation: Y TUSCORA STAMP CLUB POSITION: President NATURE: Board Member / Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 202 East High Avenue, New Philadelphia OH 44663, United States DESCRIPTION: This is a local stamp club where the individual members are involved in collecting postage stamps as well as other philatelic material. The club meets twice a month, the first Wednesday and third Tuesday evenings at 7:00 PM.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Lewis Worsham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Lewis Worsham'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
March 4, 2009 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Dover City Banking Office 232 West Third St., Dover, OH 44622RIA
BD
CRD#: 16986
Dover, OH
Current
October 31, 2008 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Dover City Banking Office 232 West Third St., Dover, OH 44622RIA
BD
CRD#: 16986
Dover, OH
Past
May 21, 2008 - October 28, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CANTON, OH
Past
May 20, 2008 - October 28, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CANTON, OH
Past
August 3, 2004 - March 31, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
AKRON, OH
Past
June 15, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 15, 2004 - March 31, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
AKRON, OH
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(11/5/2008)
RR
Georgia(12/14/2017)
RR
Indiana(11/5/2008)
IAR
Indiana(1/2/2018)
RR
Maryland(10/9/2025)
RR
Michigan(11/5/2008)
RR
New York(11/1/2013)
RR
Ohio(10/31/2008)
IAR
Ohio(3/6/2009)
RR
Pennsylvania(2/9/2016)
IAR
Pennsylvania(12/18/2017)
RR
Texas(4/17/2020)
IAR
Texas(4/15/2025)
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)
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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#: 16986Dover, OH 44622TRUST BUT VERIFY
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