0000049303-22-000013.txt : 20220810 0000049303-22-000013.hdr.sgml : 20220810 20220810093304 ACCESSION NUMBER: 0000049303-22-000013 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20220803 DATE AS OF CHANGE: 20220810 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HUNTINGTON SECURITIES, INC. CENTRAL INDEX KEY: 0000049303 IRS NUMBER: 362355753 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-00630 FILM NUMBER: 221150628 BUSINESS ADDRESS: STREET 1: 41 SOUTH HIGH ST CITY: COLUMBUS STATE: OH ZIP: 43287 BUSINESS PHONE: 216-515-6574 MAIL ADDRESS: STREET 1: 41 SOUTH HIGH ST CITY: COLUMBUS STATE: OH ZIP: 43287 FORMER COMPANY: FORMER CONFORMED NAME: HUTCHINSON, SHOCKEY, ERLEY & CO. DATE OF NAME CHANGE: 20200304 FORMER COMPANY: FORMER CONFORMED NAME: HUNTINGTON SECURITIES, INC. DATE OF NAME CHANGE: 20200227 FORMER COMPANY: FORMER CONFORMED NAME: HUTCHINSON, SHOCKEY, ERLEY & CO. DATE OF NAME CHANGE: 20020829 MA/A 1 primary_doc.xml MA/A 0000049303 XXXXXXXX Maria Kaufman 312-443-1558 maria.kaufman@huntington.com maria.kaufman@huntington.com HUNTINGTON SECURITIES, INC. 2261 Huntington Capital Markets 36-2355753 866-00229-00 867-00630 008-05761 2261 41 South High Street 5th floor Columbus OH 43606 800-824-5652 Add 4545 Post Oak Place Suite 215 Houston TX 77027 713-429-4909 Add 222 N. LaSalle Street Suite 1200 Chicago IL 60606 312-443-1500 Add 10000 NORTH CENTRAL EXPRESSWAY SUITE 400 DALLAS TX 75231 214-354-3380 Delete 41 SOUTH STREET 5TH FLOOR COLUMBUS OH 43287 614-480-1172 N www.huntington.com John William Szwagulak

200 Public Square CM235 Cleveland OH 44114

216-515-6574 john.szwagulak@huntington.com Kaufman Soledad Maria

222 N. LaSalle Street Suite 1200 Chicago IL 60601

312-443-1558 maria.kaufman@huntington.com Add Huntington Securities, Inc. 222 N. LaSalle Street Suite 1200 Chicago IL 60606 312-443-1500 Chicago is the primary location for municipal securities activity, so records for the activity are primarily maintained at this office. HUNTINGTON BANCSHARES INCORPORATED N December DE 02-08-1957 N 89 7 7 0 0 14 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 Y Y Y Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Banking/Thrift institution Insurance company or agency 8 Add Banking/Thrift institution THE HUNTINGTON NATIONAL BANK THE HUNTINGTON NATIONAL BANK N Y N Add 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 Add Insurance company or agency HUNTINGTON INSURANCE, INC. HUNTINGTON INSURANCE, INC. N Y N NewAdd Broker-dealer municipal securities dealer or government securities broker or dealer CAPSTONE CAPITAL MARKETS LLC CAPSTONE PARTNERS N Y N NewAdd Insurance company or agency Huntington Captive Insurance Company Huntington Captive Insurance Company N Y N NewAdd Insurance company or agency HBI SPECIALTY INSURANCE COMPANY HBI SPECIALTY INSURANCE COMPANY N Y N NewAdd Insurance company or agency TCF AGENCY INSURANCE SERVICES, INC. TCF AGENCY INSURANCE SERVICES, INC. N Y N NewAdd Insurance company or agency HBI TITLE SERVICES, INC. HBI TITLE SERVICES, 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 HUNTINGTON BANCSHARES INCORPORATED Y SOLE SHAREHOLDER 10-01-2018 E Y 49196 Thomas Edward Dannenberg Head of Municipal Securities/ Director 12-01-2020 NA Y 4801020 John William Szwagulak CCO 02-24-2020 NA Y 4033023 Mark Robert Borrelli General Counsel/Secretary 04-20-2017 NA Y 6803711 Scott David Kleinman DIRECTOR 10-01-2018 NA Y 2357636 Matthew Louis Milcetich DIRECTOR 10-01-2018 NA Y 6419334 Terra Dawn Dibowski Head of Brokerage Operations 02-24-2020 NA Y 5468840 Jordan NMN Stevens Director 03-04-2022 NA Y 7514029 KATHERINE ELEANOR HERBERT FINOP 03-08-2022 NA Y 6412263 HUNTINGTON BANCSHARES INCORPORATED Y SOLE SHAREHOLDER 10-01-2018 E Y 49196 Thomas Edward Dannenberg Head of Municipal Securities/ Director 12-01-2020 NA Y 4801020 John William Szwagulak CCO 02-24-2020 NA Y 4033023 Mark Robert Borrelli General Counsel/Secretary 04-20-2017 NA Y 6803711 Scott David Kleinman DIRECTOR 10-01-2018 NA Y 2357636 Matthew Louis Milcetich DIRECTOR 10-01-2018 NA Y 6419334 Terra Dawn Dibowski Head of Brokerage Operations 02-24-2020 NA Y 5468840 Jordan NMN Stevens Director 03-04-2022 NA Y 7514029 KATHERINE ELEANOR HERBERT FINOP 03-08-2022 NA Y 6412263 9-E2 Hutchinson, Shockey, Erley & Co. 2261 1584032 9-E2 Hutchinson, Shockey, Erley & Co. 2261 1359220 9-E2 Hutchinson, Shockey, Erley & Co. 2261 1247164 9-E2 Hutchinson, Shockey, Erley & Co. 2261 1221288 9-D2 9-D4 Hutchinson, Shockey, Erley & Co. 2261 164074 9-E2 Hutchinson, Shockey, Erley & Co. 2261 104782 9-C2 9-C4 9-C5 HUTCHINSON, SHOCKEY, ERLEY & CO 2261 1786686 1 9-D1 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1943594 1 9-D5 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1938779 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1910631 1 9-D2 9-D4 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1530641 1 9-D2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 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 16986 2001607 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1833698 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1795146 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1694067 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1431197 1 9-D2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1368254 1 9-D2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1368253 1 9-D2 9-D4 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1318588 1 9-C1 9-C2 9-C4 9-C5 HUNTINGTON BANCSHARES INCORPORATED N THE HUNTINGTON INVESTMENT COMPANY 16986 1261457 1 9-E2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 1256990 1 9-D2 9-D4 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 384405 1 9-D2 9-D4 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 365928 1 9-D2 9-D4 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 337999 1 9-D2 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 328250 1 9-C2 9-C4 THE HUNTINGTON INVESTMENT COMPANY Y 008-34867 THE HUNTINGTON INVESTMENT COMPANY 16986 2020004 1 9-C1 9-C2 9-C5 GATEWAY ONE LENDING & FINANCE , LLC N HUNTINGTON SECURITIES INC. 2261 2143569 1 9-D1 9-D2 9-D4 HBI TITLE SERVICES INC. N HUNTINGTON SECURITIES INC. 2261 2142678 1 9-H1b HUNTINGTON BANCSHARES INCORPORATED N THE HUNTINGTON INVESTMENT COMPANY 16986 1261456 MARIA KAUFMAN MARIA KAUFMAN VICE PRESIDENT 08-03-2022 N N Y N N Y N Y N N Y N Y N N N N Y N N N