LH
Lisa A. Huang
HUNTINGTON SECURITIES
New York, NY 10018
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CRD#: 5010796
LH
Professional summary
Lisa A Huang, who also goes by Lisa Anyen Huang, Lisa A Huang, is a registered financial professional currently at HUNTINGTON SECURITIES, INC. located in New York, New York.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 2005. Lisa has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lisa Anyen Huang | Lisa A Huang
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.
CRS (Client Relationship Summary) - BD
Click below to view Lisa A Huang'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
June 11, 2024 - Present
HUNTINGTON SECURITIES, INC.
Office #1: 104 W. 40th St 3rd Floor, New York, NY 10018BD
CRD#: 2261
New York, NY
Past
December 23, 2021 - November 7, 2023
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
NEW YORK, NY
Past
April 13, 2018 - November 24, 2021
BBVA SECURITIES INC.
BD
CRD#: 27060
NEW YORK, NY
Past
September 12, 2005 - November 25, 2016
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(6/11/2024)
RR
Arizona(6/11/2024)
RR
Arkansas(6/11/2024)
RR
California(6/11/2024)
RR
Colorado(6/11/2024)
RR
Connecticut(6/11/2024)
RR
Florida(6/11/2024)
RR
Illinois(6/11/2024)
RR
Indiana(6/11/2024)
RR
Kentucky(6/11/2024)
RR
Louisiana(6/11/2024)
RR
Massachusetts(6/11/2024)
RR
Michigan(6/11/2024)
RR
Missouri(6/11/2024)
RR
Montana(6/11/2024)
RR
New Jersey(6/11/2024)
RR
New Mexico(6/11/2024)
RR
New York(6/11/2024)
RR
North Carolina(6/11/2024)
RR
Ohio(6/11/2024)
RR
Oregon(6/11/2024)
RR
Pennsylvania(6/11/2024)
RR
Rhode Island(6/11/2024)
RR
Tennessee(6/11/2024)
RR
Texas(6/11/2024)
RR
Utah(6/11/2024)
RR
Virginia(6/11/2024)
RR
West Virginia(6/11/2024)
RR
Wisconsin(6/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HUNTINGTON SECURITIES, INC.
HUNTINGTON CAPITAL MARKETS | HUTCHINSON, SHOCKEY, ERLEY & CO. | HUTCHINSON SHOCKEY ERLEY | HUNTINGTON SECURITIES, INC.
CRD#: 2261 / SEC#: , 8-5761
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
41 South High St, Columbus, OH 43287
Mailing Address
41 South High St, Columbus, OH 43287
Phone number
(312) 443-1560
Established
Delaware since 02/08/1957
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (29 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| BORRELLI, MARK ROBERT | GENERAL COUNSEL/SECRETARY | 6803711 |
| COSTANZO, SAMANTHA ANN | DIRECTOR | 4133695 |
| DIBOWSKI, TERRA | HEAD OF BROKERAGE OPERATIONS | 5468840 |
| FITZSIMMONS, DAVID RAYMOND | HEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR | 4245434 |
| HERBERT, KATHERINE ELEANOR | CONTROLLER/FINOP | 6412263 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | PRESIDENT | 6419334 |
| SZWAGULAK, JOHN W III | CHIEF COMPLIANCE OFFICER | 4033023 |
| WALTHER, KATHLEEN | DIRECTOR | 7858303 |
Disclosures
| Regulatory Event | 8 |
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.
