HFA Regulatory Disclosures
At Huntington Financial Advisors® (HFA), we strive to look out for our clients. We believe it's important for you to have the information you need to make decisions about how to save and invest for the future. It's also important that you understand the differences between the products and services we offer, which include brokerage, advisory, and insurance services, as well as the role we have when it comes to certain types of transactions, such as qualified plan rollovers and IRA transfers.
The following is a list of HFA’s key disclosures about our firm, representatives, products, and services:
- HFA Client Relationship Summary
- Brokerage Services Brochure
- Brokerage Fee and Commission Schedule
- Form ADV, Part 2A Brochure
- Advisory Fee Schedule
- Product Sponsor Support
- Fiduciary Acknowledgment for Retirement Accounts
- Core Account Sweep Program
- HFA Business Continuity Plan
- HNB Privacy Notice
HFA routes equity securities and equity options orders to its clearing firm, National Financial Services LLC (“NFS”), pursuant to a fully disclosed clearing arrangement. NFS selects the exchanges or broker-dealers for execution on behalf of HFA.
Some of the exchanges or broker-dealers may provide payments to NFS depending upon the characteristics of the order and any subsequent execution. However, other than the clearing arrangement with NFS, HFA does not have any arrangement with the execution venues and HFA does not receive any payment for order flow from NFS or the execution venues. NFS is responsible for disclosing any payment for order flow arrangements separately to HFA customers.
Each quarter, NFS also prepares order routing reporting of HFA customers’ non-directed orders subject to SEC Rule 606, including the type and the identity of the broker-dealers or exchanges receiving these orders. The quarterly reporting is available below.
A copy of the most recent quarterly reporting is also available to you upon request. Upon written request to HFA or NFS, you may also obtain the identity of the broker-dealer or exchange executing your trade and the associated time of execution on any of your equity trades placed within the last six months.
As always, if you have any questions or needs, please contact your Huntington Financial Advisor or the Client Services Team at (800) 322-4600, Monday through Friday, 8:00 a.m. to 5:00 p.m. ET.
Huntington Financial Advisors® is a federally registered service mark and a trade name under which The Huntington Investment Company offers securities and insurance products and services. The Huntington Investment Company is a registered broker-dealer, member FINRA and SIPC, and a registered investment adviser with the U.S. Securities and Exchange Commission (SEC). The Huntington Investment Company is a wholly-owned subsidiary of Huntington Bancshares Incorporated.
Certain insurance products are offered by Huntington Insurance, Inc., a wholly-owned subsidiary of Huntington Bancshares Incorporated, and underwritten by third-party insurance carriers not affiliated with Huntington Insurance, Inc.