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Austin J. Dillon
THE HUNTINGTON INVESTMENT COMPANY
Canton, OH 44702
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CRD#: 7592471
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Professional summary
Austin James Dillon, who also goes by Austin Dillon, is a registered financial advisor currently at THE HUNTINGTON INVESTMENT COMPANY located in Canton, Ohio.
Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Austin has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Austin Dillon
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) First Responder Financial Advisors-1270 S. Cleveland Massillon Rd. Bldg A, Suite 102, Copley, OH 44321; Investment Related; Provide support of branch office for securities accounts & may conduct some fixed insurance sales; Non-Producing Licensed Sales Assistant; Start date 11/2022; 160 hrs/mnth; 130 hrs/mnth during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Austin James Dillon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Austin James Dillon'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 1, 2024 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: New Market 220 Market Ave South, Canton, OH 44702RIA
BD
CRD#: 16986
Canton, OH
Current
March 1, 2024 - Present
THE HUNTINGTON INVESTMENT COMPANY
Office #1: Acr Osj - Dover Main 232 W 3rd St., Dover, OH 44622RIA
BD
CRD#: 16986
Dover, OH
Past
August 30, 2023 - January 24, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
COLUMBUS, OH
Past
August 30, 2023 - January 24, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
COLUMBUS, OH
Past
May 18, 2023 - July 6, 2023
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
Copley, OH
Past
November 30, 2022 - July 6, 2023
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
Copley, OH
Past
August 22, 2022 - November 2, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
AKRON, 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
Alabama(4/7/2025)
RR
Alaska(4/7/2025)
RR
Arizona(4/7/2025)
RR
Arkansas(4/7/2025)
RR
California(4/7/2025)
RR
Colorado(4/7/2025)
RR
Connecticut(4/7/2025)
RR
Delaware(4/7/2025)
RR
District of Columbia(4/7/2025)
RR
Florida(4/7/2025)
RR
Georgia(4/7/2025)
RR
Hawaii(4/7/2025)
RR
Idaho(4/7/2025)
RR
Illinois(4/7/2025)
RR
Indiana(4/7/2025)
RR
Iowa(4/7/2025)
RR
Kansas(4/7/2025)
RR
Kentucky(4/7/2025)
RR
Louisiana(4/7/2025)
RR
Maine(4/7/2025)
RR
Maryland(4/7/2025)
RR
Massachusetts(4/7/2025)
RR
Michigan(4/7/2025)
RR
Minnesota(4/7/2025)
RR
Mississippi(4/7/2025)
RR
Missouri(4/7/2025)
RR
Montana(4/7/2025)
RR
Nebraska(4/7/2025)
RR
Nevada(4/7/2025)
RR
New Hampshire(4/7/2025)
RR
New Jersey(4/7/2025)
RR
New Mexico(4/7/2025)
RR
New York(4/7/2025)
RR
North Carolina(4/7/2025)
RR
North Dakota(4/7/2025)
RR
Ohio(3/1/2024)
IAR
Ohio(3/1/2024)
RR
Oklahoma(4/7/2025)
RR
Oregon(4/7/2025)
RR
Pennsylvania(4/7/2025)
RR
Puerto Rico(4/7/2025)
RR
Rhode Island(4/7/2025)
RR
South Carolina(4/7/2025)
RR
South Dakota(4/7/2025)
RR
Tennessee(4/7/2025)
RR
Texas(4/7/2025)
RR
Utah(4/7/2025)
RR
Vermont(4/7/2025)
RR
Virgin Islands(4/7/2025)
RR
Virginia(4/7/2025)
RR
Washington(4/7/2025)
RR
West Virginia(4/7/2025)
RR
Wisconsin(4/7/2025)
RR
Wyoming(4/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/21/2022
General Securities 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 | 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.
