KM
Kenneth M. Middleton
THE HUNTINGTON INVESTMENT COMPANY
Lakewood, CO 80228
Some features on this profile are disabled
CRD#: 6205871
KM
Professional summary
Kenneth Michael Middleton, who also goes by Ken Middleton, Kenneth Michael Middleton, Kenneth Middleton, Kenneth M Middleton, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Lakewood, Colorado.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Kenneth has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken Middleton | Kenneth Michael Middleton | Kenneth Middleton | Kenneth M Middleton
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.
NAME: Meadowpeak Rentals LLC POSITION: Owner NATURE: Rental property INVESTMENT RELATED: No NUMBER OF HOURS: 0-5 SECURITIES TRADING HOURS: 0 START DATE: 3/1/2021 ADDRESS: 18 E Meadow Mile Rd, Fraser, CO. 80442 DESCRIPTION:�Rental property
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Michael Middleton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Michael Middleton'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 30, 2025 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Union And Alameda 12053 W Alameda Parkway, Lakewood, CO 80228RIA
BD
CRD#: 16986
Lakewood, CO
Current
April 30, 2025 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Union And Alameda 12053 W Alameda Parkway, Lakewood, CO 80228RIA
BD
CRD#: 16986
Lakewood, CO
Past
August 9, 2024 - May 6, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Denver, CO
Past
August 9, 2024 - May 6, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Denver, CO
Past
July 12, 2019 - June 18, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
GREENWOOD VILLAGE, CO
Past
July 1, 2019 - June 19, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWOOD VILLAGE, CO
Past
March 16, 2018 - October 23, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Denver, CO
Past
March 15, 2018 - October 23, 2018
TD AMERITRADE, INC.
RIA
CRD#: 7870
Denver, CO
Past
February 26, 2018 - October 23, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
KINGSPORT, TN
Past
June 7, 2017 - March 24, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
Westminster, CO
Past
December 16, 2014 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
WESTMINSTER, CO
Past
May 21, 2014 - October 7, 2014
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BOCA RATON, FL
Past
July 1, 2013 - May 19, 2014
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
MIRAMAR, FL
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(4/30/2025)
IAR
Colorado(4/30/2025)
RR
Nebraska(8/19/2025)
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 | 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.
