Adam S. Aldrich

THE HUNTINGTON INVESTMENT COMPANY

Charlotte, NC 28210

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CRD#: 4894510

Professional summary

Adam Shain Aldrich, who also goes by Adam S Aldrich, Adam Shain Aldrich, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Charlotte, North Carolina.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Adam has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam S Aldrich | Adam Shain Aldrich

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 Adam Shain Aldrich's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Adam Shain Aldrich'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

October 27, 2025 - Present

THE HUNTINGTON INVESTMENT COMPANY

Office #1: Southpark 6700 Fairview Road, Charlotte, NC 28210

RIA

CRD#: 16986

Charlotte, NC

Current

October 27, 2025 - Present

THE HUNTINGTON INVESTMENT COMPANY

Office #1: Southpark 6700 Fairview Road, Charlotte, NC 28210

RIA

CRD#: 16986

Charlotte, NC

Past

March 11, 2015 - September 18, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

March 11, 2015 - September 18, 2025

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 18, 2013 - March 11, 2015

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CHARLOTTE, NC

Past

March 18, 2013 - March 11, 2015

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

CHARLOTTE, NC

Past

June 25, 2012 - March 21, 2013

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

GREENSBORO, NC

Past

June 20, 2012 - March 21, 2013

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

GREENSBORO, NC

Past

September 3, 2009 - July 13, 2012

MORGAN STANLEY

RIA

CRD#: 149777

NEWPORT BEACH, CA

Past

September 3, 2009 - July 13, 2012

MORGAN STANLEY

CRD#: 149777

NEWPORT BEACH, CA

Past

March 4, 2009 - September 1, 2009

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

NEWPORT BEACH, CA

Past

March 3, 2009 - September 1, 2009

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

NEWPORT BEACH, CA

Past

February 2, 2007 - December 8, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAVANNAH, GA

Past

February 1, 2007 - December 8, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAVANNAH, GA

Past

November 22, 2006 - January 17, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAVANNAH, GA

Past

July 28, 2006 - January 17, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAVANNAH, GA

Past

February 15, 2005 - July 25, 2006

GUNNALLEN FINANCIAL, INC

CRD#: 17609

BOCA RATON, FL

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

North Carolina
(10/27/2025)

IAR

North Carolina
(10/27/2025)

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 65

Date: 11/21/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/24/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/9/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/14/2005

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	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.

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Advisor Monitoring

Firm Stability Insights

Adam S. Aldrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Shain Aldrich's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Adam Shain Aldrich's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE HUNTINGTON INVESTMENT COMPANY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

MORGAN STANLEY

MORGAN STANLEY

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

GUNNALLEN FINANCIAL, INC

Primary Firm SEC Registration

THE HUNTINGTON INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 11/21/2006

Series 63

Date: 3/24/2005

SIE

Date: 10/1/2018

Series 31

Date: 10/9/2009

Series 7

Date: 2/14/2005

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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