Grace J. Kerns

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CRD#: 7572640

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Grace J Kerns, who also goes by Grace Kerns, was a registered financial professional .

Grace is a previously registered financial professional and started their career in finance in 2024. Grace had worked at 1 firm and has passed the Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Grace Kerns

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 24, 2024 - September 24, 2025

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

CHICAGO, IL

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".

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)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7TO

Date: 4/24/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/7/2023

Securities Industry Essentials Examination

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THE HUNTINGTON INVESTMENT COMPANY ADV PART 2A APPENDIX 1 (7/21/2025)

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

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Grace J. Kerns

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE HUNTINGTON INVESTMENT COMPANY

Primary Firm SEC Registration

THE HUNTINGTON INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 7TO

Date: 4/24/2024

SIE

Date: 8/7/2023

Current Firm

THE HUNTINGTON INVESTMENT COMPANY

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

THE HUNTINGTON INVESTMENT COMPANY

TRUST BUT VERIFY

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