RT
Ricky S. Thorson
THE HUNTINGTON INVESTMENT COMPANY
Plymouth, MN 55447
Some features on this profile are disabled
CRD#: 6277712
RT
Professional summary
Ricky Steven Thorson, who also goes by Rick Steven Thorson, Ricky Steven Thorson Jr., Ricky Steven Thorson, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Plymouth, Minnesota.
Ricky is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Ricky has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Steven Thorson | Ricky Steven Thorson Jr. | Ricky Steven Thorson
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.
Midwest Casino Company LLC; Not Investment Related; Madison, WI; Casino Style entertainment at holiday parties; Owner operator; Owner; 10/01/2014; 8 hours / month; 0 hours/ trading; Organize and coordinate events with decorations and games
CRS (Client Relationship Summary) - RIA
Click below to view Ricky Steven Thorson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ricky Steven Thorson'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
January 22, 2024 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Plymouth 34th Ave 15525 34th Ave N, Plymouth, MN 55447RIA
BD
CRD#: 16986
Plymouth, MN
Current
January 22, 2024 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Plymouth 34th Ave 15525 34th Ave N, Plymouth, MN 55447RIA
BD
CRD#: 16986
Plymouth, MN
Past
July 31, 2023 - January 18, 2024
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
MADISON, WI
Past
July 31, 2023 - January 18, 2024
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
MADISON, WI
Past
February 23, 2023 - August 1, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
MADISON, WI
Past
March 24, 2021 - August 1, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
MADISON, WI
Past
January 3, 2019 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
MADISON, WI
Past
February 4, 2014 - March 9, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
MADISON, WI
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
Iowa(6/4/2025)
RR
Minnesota(1/22/2024)
IAR
Minnesota(1/22/2024)
RR
Wisconsin(3/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/7/2022
General Securities Representative ExaminationGeneral 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.
