Henry L. Gerstenberger
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.
Henry Leigh Gerstenberger was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1979. Henry had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2017 - July 5, 2017
THE HUNTINGTON INVESTMENT COMPANY
February 1, 2017 - July 5, 2017
THE HUNTINGTON INVESTMENT COMPANY
September 18, 2013 - February 1, 2017
LPL FINANCIAL LLC
September 18, 2013 - February 1, 2017
LPL FINANCIAL LLC
February 17, 2011 - September 18, 2013
FIRSTMERIT ADVISORS, INC.
August 2, 2010 - September 18, 2013
FIRSTMERIT FINANCIAL SERVICES, INC
June 19, 2008 - December 31, 2009
INVEST FINANCIAL CORPORATION
June 4, 2008 - December 31, 2009
INVEST FINANCIAL CORPORATION
June 16, 2001 - November 19, 2007
PNC CAPITAL MARKETS LLC
November 1, 1999 - June 16, 2001
J.J.B. HILLIARD, W.L. LYONS, LLC
November 11, 1996 - October 12, 1999
PNC BROKERAGE CORP
July 18, 1994 - October 4, 1996
ALLSTATE FINANCIAL SERVICES, LLC
June 12, 1987 - December 8, 1990
BERKSHIRE EQUITY SALES, INC.
March 30, 1987 - January 11, 1990
PRUCO SECURITIES, LLC.
October 12, 1983 - July 29, 1994
G. R. PHELPS & CO., INC.
May 22, 1979 - October 4, 1983
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
May 22, 1979 - October 4, 1983
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 5/15/1979
Registered Representative ExaminationCurrent Firm
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
Contact information
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.
