DB
David P. Bazzoli
THE HUNTINGTON INVESTMENT COMPANY
Columbus, OH
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CRD#: 5146264
DB
Professional summary
David Paul Bazzoli is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Columbus, Ohio.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 3, Series 7, Series 14, Series 4, Series 53 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Paul Bazzoli's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Paul Bazzoli'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
April 16, 2018 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #2: National Advice Center Osj 1600 Bethel Rd., Columbus, OH 43220Office #3: Bethel Road 1600 Bethel Rd., Columbus, OH 43220Office #4: Hfa Service Center Osj - Bethel Road 1600 Bethel Road, Columbus, OH 43220RIA
BD
CRD#: 16986
Columbus, OH
Current
April 17, 2018 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: National Advice Center Osj 1600 Bethel Rd., Columbus, OH 43220Office #2: Hfa Service Center Osj - Bethel Road 1600 Bethel Road, Columbus, OH 43220RIA
BD
CRD#: 16986
Columbus, OH
Past
January 6, 2015 - September 18, 2017
MORGAN STANLEY
RIA
CRD#: 149777
DUBLIN, OH
Past
January 6, 2015 - September 18, 2017
MORGAN STANLEY
BD
CRD#: 149777
DUBLIN, OH
Past
October 1, 2012 - January 5, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
COLUMBUS, OH
Past
October 1, 2012 - January 5, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
COLUMBUS, OH
Past
October 29, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
MARYSVILLE, OH
Past
October 27, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
MARYSVILLE, OH
Past
January 10, 2008 - July 20, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
AKRON, OH
Past
December 13, 2007 - July 20, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
AKRON, OH
Past
August 2, 2007 - December 7, 2007
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
FALLS CHURCH, VA
Past
August 2, 2007 - December 7, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
FALLS CHURCH, VA
Past
October 9, 2006 - June 28, 2007
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
ROCKVILLE, MD
Past
September 18, 2006 - June 28, 2007
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ROCKVILLE, 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".
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
IAR
Ohio(4/16/2018)
RR
Ohio(4/17/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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.
