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1Huntington Investment Company, a registered broker dealer, member FINRA/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.
Trust and investment management services are provided by The Huntington National Bank, a national bank with fiduciary powers. The Huntington National Bank is a wholly-owned subsidiary of Huntington Bancshares Incorporated.
Investment, Insurance and Trust products are:
NOT A DEPOSIT • NOT FDIC INSURED • NOT GUARANTEED BY THE BANK • NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY • MAY LOSE VALUE
Business Continuity Plan
A plan is maintained by The Huntington Investment Company (HIC) to continue business throughout varying degrees of circumstances which in the absence the plan, would otherwise disrupt HIC’s ability to conduct business. In the plan, HIC has endeavored to consider and prepare for a broad range of scenarios of varying severity. Preparation includes the establishment of arrangements for alternative facilities, systems and staffing to strive to minimize the impact of any such event. Resumption of service is dependent on nature of the incident at hand.
For example, should there be an event that would prevent HIC from conducting business in its primary operational facility, the plans are designed to enable resumption of essential functions in a backup facility within the same business day. As to the matter of client’s ability to place trades, through re-direction of phone lines and client’s access to internet trading capabilities, our expectation is that so long as the securities markets remain open, trading would not be disrupted.
While there can be no guarantee to its effectiveness, HIC has a high level of confidence that through its careful planning and periodic testing, the firm’s preparation provides a reasonable strategy to effectively manage a business recovery operation. For more information, contact your HIC Investment Representative.
Order Routing Data
The Huntington Investment Company, acting as agent for its customers, introduces customers to National Financial Services, LLC ("NFS"). NFS provides brokerage services; carrying customer cash and margin accounts and clearing all equity and options transactions for such accounts. The Huntington Investment Company operates pursuant to the (k)(2)(ii) exemptive provisions of SEC rule 15c3-3 and does not hold customer funds or securities.
The Huntington Investment Company and/or NFS LLC transmits customer orders for execution to various exchanges or market centers based on a number of factors. These include: size of order, trading characteristics of the security, favorable execution prices (including the opportunity for price improvement), access to reliable market data, availability of efficient automated transaction processing an reduced execution costs through price concessions from the market centers. Certain market centers may execute orders at prices superior to the publicly quoted market in accordance with their rules or practices. While a customer may specify that an order be directed to a particular market center for execution, the order-routing policies, taking into consideration all of the factors listed above, are designated to result in favorable transaction processing for customers. The Huntington Investment Company and/or NFS LLC may receive remuneration, compensation or other consideration for directing customer orders for equity securities to particular broker/dealers or market centers for execution. Such consideration may take the form of financial credits, monetary payments or reciprocal business.
Click here to review order routing data for the previous quarter