# EDGAR Filing Document

**Accession Number:** 0000049303
**File Stem:** 0000049303-23-000002
**Filing Date:** 2023-3
**Character Count:** 20281
**Document Hash:** b945ba76830d1d366dfe476ee1e8d16d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000049303-23-000002.hdr.sgml**: 20230404

**ACCESSION NUMBER**: 0000049303-23-000002

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230329

**DATE AS OF CHANGE**: 20230404

**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:** 23796209

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000049303

**Filer CCC:** XXXXXXXX

**Contact Name:** John Szwagulak

**Contact Phone:** 216-515-6574

**Contact Email:** john.szwagulak@huntington.com

**Notification Emails:** john.szwagulak@huntington.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** HUNTINGTON SECURITIES, INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 2261

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**B. Doing-Business-As (DBA) Name:** Huntington Capital Markets

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 36-2355753

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00229-00

- **Municipal Advisor:** SEC File No: 867-00630

- **Broker-Dealer:** SEC File No: 008-05761, CRD No: 2261

**E. Principal Office and Place of Business:** 41 South High Street, 5th floor, Columbus, OH, 43606

**Telephone Number:** 800-824-5652

**Additional Offices of Employment:**

- **Office #1 (Delete):** 4545 Post Oak Place, Suite 215, Houston, TX, 77027 | Phone: 713-429-4909

- **Office #2 (Add):** 222 N. LaSalle Street, Suite 1200, Chicago, IL, 60606 | Phone: 312-443-1500

- **Office #3 (Add):** 10000 NORTH CENTRAL EXPRESSWAY, SUITE 400, DALLAS, TX, 75231 | Phone: 214-354-3380

- **Office #4 (NewAdd):** 41 S. High St, 5th Floor, Columbus, OH, 43215 | Phone: 800-824-5652

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.huntington.com

**G. Chief Compliance Officer (CCO):**

**Name:** John William Szwagulak

**Address:** 200 Public Square, CM235, Cleveland, OH, 44114

**Phone Number:** 216-515-6574

**Email:** john.szwagulak@huntington.com

**H. Business Affiliates:**

- **Name:** HUNTINGTON BANCSHARES INCORPORATED

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 02-08-1957

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 61

**B. Municipal Advisory Activities - Employees:** 6

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 6

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 14

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice ME Investments, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** Yes

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Banking/Thrift institution, Insurance company or agency, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Insurance company or agency, Insurance company or agency, Broker-dealer municipal securities dealer or government securities broker or dealer, Insurance company or agency, Insurance company or agency, Insurance company or agency, Insurance company or agency

**Total Associated Persons:** 7

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** Yes

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** Yes

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** Yes

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** Yes

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                               | Title/Status                           | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| HUNTINGTON BANCSHARES INCORPORATED | SOLE SHAREHOLDER                       | 10-01-2018      | E - 75% or more   | Yes               |  |  |
| Thomas Edward Dannenberg           | Head of Municipal Securities/ Director | 12-01-2020      | NA - less than 5% | Yes               |  | 4801020      |
| John William Szwagulak             | CCO                                    | 02-24-2020      | NA - less than 5% | Yes               |  | 4033023      |
| Mark Robert Borrelli               | General Counsel/Secretary              | 04-20-2017      | NA - less than 5% | Yes               |  | 6803711      |
| Scott David Kleinman               | DIRECTOR                               | 10-01-2018      | NA - less than 5% | Yes               |  | 2357636      |
| Matthew Louis Milcetich            | DIRECTOR                               | 10-01-2018      | NA - less than 5% | Yes               |  | 6419334      |
| Terra Dawn Dibowski                | Head of Brokerage Operations           | 02-24-2020      | NA - less than 5% | Yes               |  | 5468840      |
| Jordan NMN Stevens                 | Director                               | 03-04-2022      | NA - less than 5% | Yes               |  | 7514029      |
| KATHERINE ELEANOR HERBERT          | FINOP                                  | 03-08-2022      | NA - less than 5% | Yes               |  | 6412263      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                               | Title/Status                           | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | HUNTINGTON BANCSHARES INCORPORATED | SOLE SHAREHOLDER                       | 10-01-2018      | E - 75% or more   | Yes               |  |  |
|  | Direct      |  | Thomas Edward Dannenberg           | Head of Municipal Securities/ Director | 12-01-2020      | NA - less than 5% | Yes               |  | 4801020      |
|  | Direct      |  | John William Szwagulak             | CCO                                    | 02-24-2020      | NA - less than 5% | Yes               |  | 4033023      |
|  | Direct      |  | Mark Robert Borrelli               | General Counsel/Secretary              | 04-20-2017      | NA - less than 5% | Yes               |  | 6803711      |
|  | Direct      |  | Scott David Kleinman               | DIRECTOR                               | 10-01-2018      | NA - less than 5% | Yes               |  | 2357636      |
|  | Direct      |  | Matthew Louis Milcetich            | DIRECTOR                               | 10-01-2018      | NA - less than 5% | Yes               |  | 6419334      |
|  | Direct      |  | Terra Dawn Dibowski                | Head of Brokerage Operations           | 02-24-2020      | NA - less than 5% | Yes               |  | 5468840      |
|  | Direct      |  | Jordan NMN Stevens                 | Director                               | 03-04-2022      | NA - less than 5% | Yes               |  | 7514029      |
| Amend  | Direct      |  | Katherine Eleanor Herbert          | FINOP                                  | 03-08-2022      | NA - less than 5% | Yes               |  | 6412263      |
| NewAdd | Direct      |  | David Raymond Fitzsimmons          | President                              | 10-01-2018      | NA - less than 5% | Yes               |  | 4245434      |
| NewAdd | Direct      |  | Todd Andrew Beekman                | DIRECTOR                               | 02-01-2020      | NA - less than 5% | Yes               |  | 6291198      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Hutchinson, Shockey, Erley & Co.

- **CRD Number:** 2261

- **Disclosure Number:** 1584032

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Hutchinson, Shockey, Erley & Co.

- **CRD Number:** 2261

- **Disclosure Number:** 1359220

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Hutchinson, Shockey, Erley & Co.

- **CRD Number:** 2261

- **Disclosure Number:** 1247164

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Hutchinson, Shockey, Erley & Co.

- **CRD Number:** 2261

- **Disclosure Number:** 1221288

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Hutchinson, Shockey, Erley & Co.

- **CRD Number:** 2261

- **Disclosure Number:** 164074

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Hutchinson, Shockey, Erley & Co.

- **CRD Number:** 2261

- **Disclosure Number:** 104782

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for HUTCHINSON, SHOCKEY, ERLEY & CO

- **CRD Number:** 2261

- **Disclosure Number:** 1786686

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1943594

**Regulatory DRP for: Applicant (Responding to Questions: 9-D5)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1938779

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1910631

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1530641

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 607281

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5, 9-D1, 9-D2, 9-D4, 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 2001607

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1833698

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1795146

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1694067

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1431197

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1368254

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1368253

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1318588

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1261457

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 1256990

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 384405

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 365928

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 337999

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 328250

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4)**

  - **Associated Person:** —

  - **CRD Number:** 16986

  - **Filed On (AP):** Form ADV/BD/U4 for THE HUNTINGTON INVESTMENT COMPANY

  - **Disclosure Number:** 2020004

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 2261

  - **Filed On (AP):** Form ADV/BD/U4 for HUNTINGTON SECURITIES INC.

  - **Disclosure Number:** 2143569

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 2261

  - **Filed On (AP):** Form ADV/BD/U4 for HUNTINGTON SECURITIES INC.

  - **Disclosure Number:** 2142678

### Execution Page

**Signature:** John Szwagulak

**Signer Name:** John Szwagulak

**Title:** CCO

**Date:** 03-29-2023

**CRD Number:** 4033023