NS
Nuvia A. Solorzano Zambrano
THE HUNTINGTON INVESTMENT COMPANY
Blaine, MN 55434
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CRD#: 7050318
NS
Professional summary
Nuvia Alexandra Solorzano Zambrano, who also goes by Nuvia Solorzanozambrano, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Blaine, Minnesota.
Nuvia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Nuvia has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nuvia Solorzanozambrano
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.
1) 4/2022- BMO Investment Services- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s) 2) 4/2022-Nuvia Solorzano Zambrano- notary- inv. related- Edina, MN- start date 7/29/2016 3) 4/2022- BMO Harris Bank- Financial Institution Duty/ Financial Institution Duty- inv. related- Edina, MN- start date 4/2022
CRS (Client Relationship Summary) - RIA
Click below to view Nuvia Alexandra Solorzano Zambrano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nuvia Alexandra Solorzano Zambrano'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 5, 2024 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Northtown 331 Hwy 10 Ne, Blaine, MN 55434RIA
BD
CRD#: 16986
Blaine, MN
Current
March 5, 2024 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Northtown 331 Hwy 10 Ne, Blaine, MN 55434RIA
BD
CRD#: 16986
Blaine, MN
Past
April 25, 2022 - March 15, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
EDINA, MN
Past
April 25, 2022 - March 15, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
EDINA, MN
Past
May 18, 2019 - April 28, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LINO LAKES, MN
Past
March 11, 2019 - April 28, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LINO LAKES, 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
Minnesota(3/5/2024)
IAR
Minnesota(3/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/11/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
Company Information
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986Blaine, MN 55434TRUST BUT VERIFY
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