0000049303-18-000012.txt : 20181213 0000049303-18-000012.hdr.sgml : 20181213 20181213170853 ACCESSION NUMBER: 0000049303-18-000012 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20181116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HUTCHINSON, SHOCKEY, ERLEY & CO. CENTRAL INDEX KEY: 0000049303 IRS NUMBER: 362355753 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-00630 FILM NUMBER: 181233865 BUSINESS ADDRESS: STREET 1: 222 WEST ADAMS-STE 1700 CITY: CHICAGO STATE: IL ZIP: 60606-5308 BUSINESS PHONE: (312) 443-1560 MAIL ADDRESS: STREET 1: 222 WEST ADAMS-STE 1700 CITY: CHICAGO STATE: IL ZIP: 60606-5308 FORMER COMPANY: FORMER CONFORMED NAME: HUTCHINSON SHOCKEY ERLEY & CO /BD DATE OF NAME CHANGE: 20000101 MA/A 1 primary_doc.xml MA/A 0000049303 XXXXXXXX Nancy Meier 312-443-1558 nmeier@hsemuni.com HUTCHINSON, SHOCKEY, ERLEY & CO. 000002261 36-2355753 866-00229-00 867-00630 008-05761 000002261 222 WEST ADAMS-STE 1700 CHICAGO IL 60606-5308 312-443-1550 312-443-7225 Add 1110 N. Old World 3rd Street Suite 630 Milwaukee WI 53203 414-298-9898 Add 100 Maple Park Blvd Suite 142 St. Clair Shores MI 48081 586-782-4532 Add 2211 E. Highland Ave. Suite 240 Phoenix AZ 85016 602-263-0163 Delete 5690 DTC Blvd Suite 315W Greenwood VIllage CO 80111 303-785-8983 Add 4545 Post Oak Place Suite 215 Houston TX 77027 713-429-4909 N 222 WEST ADAMS-STE 1700 CHICAGO IL 60606-5308 www.hsemuni.com Nancy Lee Meier

222 W. Adams Street Suite 1700 Chicago IL 60606

312-443-1550 312-443-7225 nmeier@hsemuni.com HUNTINGTON BANCSHARES INCORPORATED N December IL 02-08-1957 N 36 16 16 0 0 33 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice ME Investments Advice Use Of MD Advice On Selection Other APPLICANT MAY ACT AS AGENT IN CONNECTION WITH MUNICIPAL LEASE TRANSACTIONS. APPLICANT MAY ALSO ARRANGE LOANS TO GOVERNMENT OR OTHER BORROWERS. Y Y Y Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Banking/Thrift institution Insurance company or agency 3 NewAdd Banking/Thrift institution HUNTINGTON BANCSHARES INCORPORATED HUNTINGTON BANCSHARES INCORPORATED N Y N NewAdd Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Insurance company or agency THE HUNTINGTON INVESTMENT COMPANY THE HUNTINGTON INVESTMENT COMPANY N Y N NewAdd Insurance company or agency HUNTINGTON INSURANCE, INC. HUNTINGTON INSURANCE, INC. N Y N N N N N N N N N N N N N N HUNTINGTON BANCSHARES INC/MD 0000049196 Schedule A N N N N Y Y N Y Y Y Y N Y Y N Y N N N N N Y N N N N Thomas Edward Dannenberg CEO/President/Shareholder 11-01-2012 B Y 004801020 Douglas Richard Fox COO/Shareholder 04-01-2012 B Y 001541487 Nancy Lee Meier CFO/CCO/Treasurer/Shareholder 04-01-2001 NA Y 004233348 James Ure VanMetre Executive VP/Shareholder 04-01-2008 B Y 001689243 Jeffrey Girard Belongia Senior VP/Shareholder 12-01-2001 A N 001413615 Kurtis James Reichert Senior VP/Shareholder 04-01-2002 B Y 002437591 LISA LOUISE CHIONCHIO SENIOR VICE PRESIDENT 06-01-2015 A N 002626229 Mark Robert Borrelli General Counsel/Secretary/Shareholder 04-20-2017 NA Y 006803711 Bryan Patrick Derdenger Sr Vice President/Shareholder 04-20-2017 A N 004552458 Brian Andrew MacPhail Sr Vice President/Shareholder 04-20-2017 A N 001578206 Thomas Joseph Rossley Exec Vice President/Sales Manager/Shareholder 04-20-2017 NA Y 001228065 Add HUNTINGTON BANCSHARES INCORPORATED Y SOLE SHAREHOLDER 10-01-2018 E Y 000049196 Amend Thomas Edward Dannenberg President/Director 11-01-2012 NA Y 004801020 Amend Douglas Richard Fox COO/DIRECTOR 04-01-2012 NA Y 001541487 Amend Nancy Lee Meier CFO/CCO 04-01-2001 NA Y 004233348 Amend James Ure VanMetre DIRECTOR 10-01-2018 NA Y 001689243 Delete Jeffrey Girard Belongia Senior VP/Shareholder 12-01-2001 A N 001413615 Delete Kurtis James Reichert Senior VP/Shareholder 04-01-2002 B Y 002437591 Delete LISA LOUISE CHIONCHIO SENIOR VICE PRESIDENT 06-01-2015 A N 002626229 Amend Mark Robert Borrelli General Counsel/Secretary 04-20-2017 NA Y 006803711 Delete Bryan Patrick Derdenger Sr Vice President/Shareholder 04-20-2017 A N 004552458 Delete Brian Andrew MacPhail Sr Vice President/Shareholder 04-20-2017 A N 001578206 Delete Thomas Joseph Rossley Exec Vice President/Sales Manager/Shareholder 04-20-2017 NA Y 001228065 9-E2 Hutchinson, Shockey, Erley & Co. 000002261 1584032 9-E2 Hutchinson, Shockey, Erley & Co. 000002261 1359220 9-E2 Hutchinson, Shockey, Erley & Co. 000002261 1247164 9-E2 Hutchinson, Shockey, Erley & Co. 000002261 1221288 9-D2 9-D4 Hutchinson, Shockey, Erley & Co. 000002261 164074 9-E2 Hutchinson, Shockey, Erley & Co. 000002261 104782 9-C2 9-C4 9-C5 HUTCHINSON, SHOCKEY, ERLEY & CO 000002261 1786686 1 9-D1 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1943594 1 9-D5 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1938779 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1910631 1 9-D2 9-D4 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1530641 1 9-D2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 607281 1 9-C2 9-C4 9-C5 9-D1 9-D2 9-D4 9-E2 HUNTINGTON INVESTMENT COMPANY Y 008-34867 HUNTINGTON INVESTMENT COMPANY 000016986 2001607 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1833698 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1795146 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1694067 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1431197 1 9-D2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1368254 1 9-D2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1368253 1 9-D2 9-D4 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1318588 1 9-C1 9-C2 9-C4 9-C5 HUNTINGTON BANCSHARES INCORPORATED N THE HUNTINGTON INVESTMENT COMPANY 000016986 1261457 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 1256990 1 9-D2 9-D4 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 384405 1 9-D2 9-D4 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 365928 1 9-D2 9-D4 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 337999 1 9-D2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 000016986 328250 1 9-H1b HUNTINGTON BANCSHARES INCORPORATED N THE HUNTINGTON INVESTMENT COMPANY 000016986 1261456 Nancy L. Meier Nancy L. Meier Chief Financial Officer/Chief Compliance Officer 11-16-2018 N N N N N Y N Y N N N N Y N N N N Y N N N