IE
Islam Elkaffas
THE HUNTINGTON INVESTMENT COMPANY
Maple Grove, MN 55311
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CRD#: 5770135
IE
Professional summary
Islam Elkaffas, who also goes by Islam Ehab Elkaffas, Islam Elkaffas, Izzy Elkaffas, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Maple Grove, Minnesota.
Islam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Islam has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Islam Ehab Elkaffas | Islam Elkaffas | Izzy Elkaffas
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.
LIFETIME FITNESS - ULTIMATE HOOPS POSITION: Sports Referee NATURE: Sports and Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 1200 E Moore Lake Dr E, Fridley MN 55432, United States DESCRIPTION: Used to be a statistician and league coordinator previously. Three years ago transitioned to refereeing. DYNASTY TRADE CALCULATOR POSITION: Owner NATURE: Business Owner INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2015 ADDRESS: 11629 Ranchview Ln N, Maple Grove MN 55369, United States DESCRIPTION: Fantasy Football service. Provide ranking and trade calculator.
CRS (Client Relationship Summary) - RIA
Click below to view Islam Elkaffas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Islam Elkaffas'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
October 14, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Maple Grove Cr 30 16450 County Road 30, Maple Grove, MN 55311RIA
BD
CRD#: 16986
Maple Grove, MN
Current
October 14, 2021 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Maple Grove Cr 30 16450 County Road 30, Maple Grove, MN 55311RIA
BD
CRD#: 16986
Maple Grove, MN
Past
November 17, 2020 - October 13, 2021
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MAPLE GROVE, MN
Past
November 17, 2020 - October 13, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
MAPLEWOOD, MN
Past
December 19, 2016 - March 25, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
RIA
CRD#: 137115
EDEN PRAIRIE, MN
Past
October 6, 2016 - March 25, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
EDEN PRAIRIE, MN
Past
January 1, 2013 - October 14, 2016
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
GOLDEN VALLEY, MN
Past
May 14, 2010 - January 31, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(11/7/2023)
RR
Colorado(9/23/2022)
RR
Maine(11/5/2024)
RR
Minnesota(10/14/2021)
IAR
Minnesota(10/14/2021)
RR
Tennessee(3/6/2025)
RR
Utah(1/16/2024)
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.
