MW
Mark A. Wakeland
THE HUNTINGTON INVESTMENT COMPANY
Powell, OH 43065
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CRD#: 5284014
MW
Professional summary
Mark Adam Wakeland, who also goes by Adam A Wakeland, Mark A Wakeland, M Adam Wakeland, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Powell, Ohio.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam A Wakeland | Mark A Wakeland | M Adam Wakeland
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 Mark Adam Wakeland's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Adam Wakeland'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
July 15, 2020 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Powell And Sawmill Branch 4072 W Powell Road, Powell, OH 43065RIA
BD
CRD#: 16986
Powell, OH
Current
July 14, 2020 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Powell And Sawmill Branch 4072 W Powell Road, Powell, OH 43065RIA
BD
CRD#: 16986
Powell, OH
Past
August 2, 2019 - June 12, 2020
WESBANCO SECURITIES, INC.
RIA
CRD#: 43276
Columbus, OH
Past
August 2, 2019 - June 12, 2020
WESBANCO SECURITIES, INC.
BD
CRD#: 43276
Columbus, OH
Past
February 8, 2017 - June 7, 2019
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
COLUMBUS, OH
Past
February 8, 2017 - June 7, 2019
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
COLUMBUS, OH
Past
March 2, 2016 - January 31, 2017
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
SOLANA BEACH, CA
Past
March 2, 2016 - January 31, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SOLANA BEACH, CA
Past
February 1, 2013 - November 19, 2015
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
POWELL, OH
Past
February 1, 2013 - November 19, 2015
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
POWELL, OH
Past
May 3, 2012 - January 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLUMBUS, OH
Past
April 30, 2012 - January 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLUMBUS, OH
Past
November 2, 2010 - April 26, 2012
MORGAN STANLEY
RIA
CRD#: 149777
SOUTH JORDAN, UT
Past
December 24, 2009 - April 26, 2012
MORGAN STANLEY
BD
CRD#: 149777
SOUTH JORDAN, UT
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
Colorado(1/12/2021)
RR
Florida(1/18/2022)
RR
Indiana(1/12/2021)
RR
New York(1/18/2022)
RR
Ohio(7/15/2020)
IAR
Ohio(7/15/2020)
RR
South Carolina(9/24/2025)
Exams
State Security Law Exam
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
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.
