JH
James R. Herberger
THE HUNTINGTON INVESTMENT COMPANY
Powell, OH
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CRD#: 5890583
JH
Professional summary
James Robert Herberger II, who also goes by James Robert Herberger, James Herberger, Rob Herberger, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Powell, Ohio and WESBANCO SECURITIES, INC. located in Powell, Ohio.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. James has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Robert Herberger | James Herberger | Rob Herberger
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 James Robert Herberger II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Robert Herberger II'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 11, 2016 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #2: Home Office Ops Osj - 41 South High 41 South High Street 4th Floor, Columbus, OH, 43215Office #3: Hfa Service Center Osj - Bethel Road 1600 Bethel Road, Columbus, OH 43220RIA
BD
CRD#: 16986
Powell, OH
Current
November 6, 2025 - Present
WESBANCO SECURITIES, INC.
Office #1: 10716 Sawmill Parkway, Powell, OH 43065RIA
BD
CRD#: 43276
Powell, OH
Current
October 11, 2016 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Home Office Ops Osj - 41 South High 41 South High Street 4th Floor, Columbus, OH, 43215Office #2: Hfa Service Center Osj - Bethel Road 1600 Bethel Road, Columbus, OH 43220RIA
BD
CRD#: 16986
COLUMBUS, OH
Current
November 6, 2025 - Present
WESBANCO SECURITIES, INC.
Office #1: 10716 Sawmill Parkway, Powell, OH 43065RIA
BD
CRD#: 43276
Powell, OH
Past
November 15, 2012 - October 11, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
COLUMBUS, OH
Past
July 25, 2012 - October 11, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
COLUMBUS, 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
Ohio(10/11/2016)
IAR
Ohio(10/11/2016)
RR
West Virginia(11/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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 | 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.
