EM
Emmalee J. Mattern
THE HUNTINGTON INVESTMENT COMPANY
East Liverpool, OH 43920
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CRD#: 5632299
EM
Professional summary
Emmalee Jane Mattern, who also goes by Emmalee Jane Ammon, Emmalee Jane Dunn, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in East Liverpool, Ohio.
Emmalee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Emmalee has worked at 1 firm and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Emmalee Jane Ammon | Emmalee Jane Dunn
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.
EMPLOYMENT DEVELOPMENT, INC POSITION: BOARD MEMBER NATURE: Board Member / Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2016 ADDRESS: 15529 SPRUCEVALE RD, EAST LIVERPOOL OH 43920, United States DESCRIPTION: WORKSHOP FOR DEVELOPMENTALLY DISABLED - THE WORSHOP IS OPEN TO ANY DEVELOPMENTALLY HANDICAPPED INDIVIDUAL IN THE COUNTY THAT WOULD LIKE TO SOCIALIZE AND GET OUT INTO THE COMMUNITY. EDI SOMETIMES DOES JOB SHADOWING OR WILL PLACE PEOPLE IN JOBS SUCH AS WASHING DISHES OR DOING LAUNDRY. EDI HAS BUSES THAT PICK UP AND DROP OFF THE CLIENTS FOR EITHER IN HOUSE DAYS OR FOR THIER JOB. NAME: Soccer Referee POSITION: Referee NATURE: Sports / Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0-5 START DATE: 09/24/2023 ADDRESS: 47330 Pancake Clarkson Rd, Rogers, OH 44455 DESCRIPTION: Referee youth soccer games
CRS (Client Relationship Summary) - RIA
Click below to view Emmalee Jane Mattern's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Emmalee Jane Mattern'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 15, 2011 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Calcutta 15836 St. Clair Ave., East Liverpool, OH 43920RIA
BD
CRD#: 16986
East Liverpool, OH
Current
January 22, 2009 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Calcutta 15836 St. Clair Ave., East Liverpool, OH 43920RIA
BD
CRD#: 16986
East Liverpool, 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(1/3/2011)
RR
New York(12/10/2024)
RR
Ohio(2/12/2009)
IAR
Ohio(3/15/2011)
RR
Pennsylvania(5/22/2009)
RR
Vermont(6/1/2016)
RR
West Virginia(5/22/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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 | BOARD MEMBER | 4621076 |
| HOLDING, MELISSA | DIRECTOR OF WEALTH MANAGEMENT | 4621076 |
| LOUGH, SHAWN PATRICK | BOARD MEMBER | 6356321 |
| MIROBALLI, MICHAEL | CHIEF OPERATING OFFICER | 1545242 |
| MIROBALLI, MICHAEL | PRESIDENT | 1545242 |
| MIROBALLI, MICHAEL | BOARD MEMBER | 1545242 |
| POLIVKA, ALEX C | AML OFFICER | 6270624 |
| REBER, AARON | BOARD MEMBER | 7793642 |
| RICHARDSON, STEPHEN MONROE | CHIEF FINANCIAL OFFICER | 6260539 |
| RICHARDSON, STEPHEN MONROE | FINOP | 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.
