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CRD 628
CINCINNATI, OH
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JAMES EDISON WILLARD | n/a | NOBLESVILLE, IN | FISHERS, IN | 21 | 30 | n/a | yes |
| JACQUELINE MARIE WILSON | n/a | CINCINNATI, OH | INDIANAPOLIS, IN | 21 | 37 | n/a | yes |
| THOMAS LEAMAN FARIS | n/a | Montgomery, OH | INDIANAPOLIS, IN | MADEIRA, OH | 21 | 38 | n/a | yes |
| DAVID KENT SELSOR | n/a | PIQUA, OH | 21 | 29 | n/a | yes |
| DEBORAH SUE CRIBBS | n/a | Montgomery, OH | CINCINNATI, OH | COVINGTON, KY | INDIANAPOLIS, IN | 21 | 34 | n/a | yes |
| MILAN RASHMIKANT PATEL | Certified Financial Planner | HAMILTON, OH | MASON, OH | 21 | 35 | n/a | yes |
| JEFFREY MICHAEL MYERS | n/a | GEORGETOWN, OH | HILLSBORO, OH | WILMINGTON, OH | 21 | 27 | n/a | yes |
| JOHN ANDREW WILE | n/a | COLUMBUS, OH | 21 | 28 | n/a | yes |
| DENIS WALTER MOULTON | n/a | MONROE, NC | MATTHEWS, NC | 21 | 27 | n/a | yes |
| HAROLD EUGENE TAYLOR | n/a | CINCINNATI, OH | 21 | 27 | n/a | yes |
| J. CHRISTOPHER PETTIGREW | n/a | CINCINNATI, OH | 21 | 26 | 1 | yes |
| ALEXANDER SCOTT ADAMS | Certified Financial Planner | INDIANAPOLIS, IN | CARMEL, IN | 21 | 44 | 2 | yes |
| RICHARD ROSS TUCKER | n/a | GROVE CITY, OH | WASHINGTON COURT HOUSE, OH | CIRCLEVILLE, OH | 21 | 33 | n/a | yes |
| EDWARD ANTHONY ZIMMER | Certified Financial Planner | COLUMBUS, OH | 21 | 38 | n/a | yes |
| CHRISTOPHER MARTIN HAYES | n/a | MIAMISBURG, OH | CENTERVILLE, OH | DAYTON, OH | 21 | 33 | 1 | yes |
| MATTHEW JAY MOWCHAN | n/a | BROOKLYN, OH | BRUNSWICK, OH | 21 | 30 | n/a | yes |
| JEFFREY JOHN JENSEN | n/a | TOLEDO, OH | 21 | 29 | n/a | yes |
| JOSEPH FREDRIC NADEAU | n/a | XENIA, OH | FAIRBORN, OH | 21 | 27 | n/a | yes |
| LISA ANN GILLEN | n/a | PENINSULA, OH | CUYAHOGA FALLS, OH | 21 | 25 | n/a | yes |
| Charles A Huff Jr. | n/a | WORTHINGTON, OH | HILLIARD, OH | 21 | 21 | n/a | yes |
| DANIEL MICHAEL VAUGHAN | n/a | MASON, OH | HAMILTON, OH | 21 | 28 | n/a | yes |
| JOSEPH BESWICK | n/a | BEREA, OH | PARMA, OH | 21 | 24 | 1 | yes |
| DARIN MATTHEW KERSHNER | n/a | WESTERVILLE, OH | WESTLAKE, OH | FAIRVIEW PARK, OH | CLEVELAND, OH | 21 | 26 | n/a | yes |
| ERIC G HADDAD | n/a | CLEVELAND, OH | FAIRVIEW PARK, OH | WESTERVILLE, OH | 21 | 25 | n/a | yes |
| BRIAN THOMAS WERBRICH | Certified Financial Planner | Montgomery, OH | INDIANAPOLIS, IN | HARRISON, OH | 21 | 26 | n/a | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | Na | yes | 06/2020 | Jun 11, 2020 | Oct 9, 2024 |
| FIFTH THIRD BANCORP | Shareholder | E | yes | 06/1998 | Dec 21, 2011 | Oct 9, 2024 |
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | Owner | E | yes | 06/1998 | Nov 14, 2019 | Oct 9, 2024 |
| FIFTH THIRD FINANCIAL CORPORATION | Shareholder | E | yes | 06/1998 | Mar 17, 2016 | Oct 9, 2024 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | Na | yes | 03/2013 | Dec 21, 2011 | Oct 9, 2024 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | Na | yes | 06/2021 | Jul 22, 2021 | Oct 9, 2024 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | Na | yes | 03/2011 | Dec 21, 2011 | Oct 9, 2024 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | Na | yes | 07/2017 | Aug 3, 2020 | Oct 9, 2024 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | Na | yes | 03/2023 | Mar 8, 2023 | Oct 9, 2024 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | Na | yes | 04/2012 | Jan 30, 2015 | Oct 9, 2024 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | Na | yes | 05/2011 | Dec 21, 2011 | Oct 9, 2024 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | Na | no | 10/2018 | Nov 14, 2019 | Oct 9, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FIFTH THIRD WEALTH ADVISORS LLC | n/a | Mixed wealth | $7.8B | N | yes | n/a |
| FRANKLIN STREET ADVISORS, INC. | n/a | Bank affiliated wealth | $4.5B | N | yes | n/a |
| FIFTH THIRD BANK | n/a | n/a | n/a | Y | yes | n/a |
| FIFTH THIRD INSURANCE AGENCY, INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Cincinnati | Oh | United States | 13 | yes |
| Louisville | Ky | United States | 7 | yes |
| EAST LANSING | Mi | United States | 6 | yes |
| Cincinnati | Oh | United States | 6 | yes |
| Findlay | Oh | United States | 6 | yes |
| Montgomery | Oh | United States | 6 | yes |
| WEST CHESTER | Oh | United States | 6 | yes |
| Chicago | IL | United States | 5 | yes |
| Carmel | In | United States | 5 | yes |
| Florence | Ky | United States | 5 | yes |
| SHELBY TOWNSHIP | Mi | United States | 5 | yes |
| TRAVERSE CITY | Mi | United States | 5 | yes |
| Cincinnati | Oh | United States | 5 | yes |
| Columbus | Oh | United States | 5 | yes |
| Dublin | Oh | United States | 5 | yes |
| Fairfield | Oh | United States | 5 | yes |
| Findlay | Oh | United States | 5 | yes |
| MAYFIELD HEIGHTS | Oh | United States | 5 | yes |
| Milford | Oh | United States | 5 | yes |
| Naples | FL | United States | 4 | yes |
| Carmel | In | United States | 4 | yes |
| Portage | In | United States | 4 | yes |
| Charlotte | Nc | United States | 4 | yes |
| Cincinnati | Oh | United States | 4 | yes |
| Cleveland | Oh | United States | 4 | yes |
| WEST CHESTER | Oh | United States | 4 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $11B | $11B | 13,533 | 848 | 1,117 | n/a | n/a |
| 2024 | Mar 31, 2025 | $9.1B | $9.1B | 1,349 | 788 | 1,117 | n/a | n/a |
| 2023 | Mar 30, 2024 | $8.0B | $8.0B | 1,228 | 722 | 1,117 | n/a | n/a |
| 2022 | Mar 31, 2023 | $7.3B | $7.3B | 1,205 | 686 | 1,117 | n/a | n/a |
| 2021 | Mar 2, 2022 | $8.9B | $8.9B | 1,247 | 721 | 1,117 | n/a | n/a |
| 2020 | Mar 31, 2021 | $1.9B | $1.9B | 1,500 | 748 | 1,436 | n/a | n/a |
| 2019 | Mar 30, 2020 | $1.5B | $1.5B | 1,563 | 740 | 1,436 | n/a | n/a |
| 2018 | Apr 1, 2019 | $1.1B | $1.1B | 1,414 | 690 | 1,187 | n/a | n/a |
| 2017 | Mar 31, 2018 | $1.0B | $1.0B | 1,333 | 646 | 1,187 | n/a | n/a |
| 2016 | Mar 31, 2017 | $888M | $883M | 1,403 | 589 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $813M | $797M | 1,525 | 503 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $779M | $750M | 1,552 | 492 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $603M | $557M | 1,517 | 467 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $438M | $208M | 1,450 | 450 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $376M | $118M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 54 | 38 | 16 | 3.8% | 22 | 12 | 0 | 130 | 117 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $11B | $9.1B | 19.7% | $7.3B | 14.3% | 13,533 | 1,349 | 1,117 | 1,117 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Jan 23, 2025 | Jan 17, 2025 | PORTAGE, MI | Team lift out | Ibd to ibd | 0.2% |
| WELLS FARGO ADVISORS | 2 | Aug 2, 2024 | Jul 29, 2024 | INDIANAPOLIS, IN | Team lift out | Ibd to wirehouse | 0.3% |
| LPL FINANCIAL LLC | 2 | Nov 16, 2023 | Nov 16, 2023 | FRANKLIN, TN | Team lift out | Ibd to ibd | 0.3% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 3 | Jul 6, 2023 | Jul 21, 2023 | INDEPENDENCE, KY | Team lift out | Ibd to wirehouse | 0.4% |
| TRUIST ADVISORY SERVICES, INC. | 4 | Nov 14, 2022 | Jan 3, 2023 | ESTERO, FL | Team lift out | Ibd to ibd | 0.6% |
| MORGAN STANLEY | 2 | Nov 4, 2022 | Nov 4, 2022 | HOFFMAN ESTATES, IL | Team lift out | Ibd to wirehouse | 0.3% |
| MORGAN STANLEY | 5 | May 9, 2022 | Jun 17, 2022 | CHICAGO, IL | Team lift out | Ibd to wirehouse | 0.7% |
| MORGAN STANLEY | 3 | Mar 16, 2022 | Mar 31, 2022 | LOMBARD, IL | Team lift out | Ibd to wirehouse | 0.4% |
| FIDELITY PERSONAL AND WORKPLACE ADVISORS | 2 | Mar 9, 2022 | Jun 23, 2022 | FLINT, MI | Team lift out | Ibd to ibd | 0.3% |
| MORGAN STANLEY | 2 | Jan 18, 2022 | Jan 18, 2022 | CHICAGO, IL | Team lift out | Ibd to wirehouse | 0.3% |
| CITIGROUP GLOBAL MARKETS INC. | 2 | Nov 3, 2021 | Jan 4, 2022 | COUNTRYSIDE, IL | Team lift out | Ibd to ibd | 0.3% |
| WELLS FARGO ADVISORS | 2 | Nov 2, 2021 | Oct 29, 2021 | GRAND RAPIDS, MI | Team lift out | Ibd to wirehouse | 0.3% |
| J.P. MORGAN SECURITIES LLC | 2 | Aug 20, 2021 | Oct 4, 2021 | VENICE, FL | Team lift out | Ibd to wirehouse | 0.3% |
| MORGAN STANLEY | 4 | Aug 9, 2021 | Aug 9, 2021 | MARCO ISLAND, FL | Team lift out | Ibd to wirehouse | 0.6% |
| OBJECTIVE CAPITAL MANAGEMENT, LLC | 2 | May 6, 2021 | May 5, 2021 | CHICAGO, IL | Team lift out | Ibd to RIA | 0.3% |
| MORGAN STANLEY | 3 | Mar 8, 2021 | Mar 5, 2021 | RIVER FOREST, IL | Team lift out | Ibd to wirehouse | 0.4% |
| J.P. MORGAN SECURITIES LLC | 2 | Jan 5, 2021 | Feb 7, 2021 | NORTHBROOK, IL | Team lift out | Ibd to wirehouse | 0.3% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Dec 23, 2020 | Jul 17, 2023 | LOUISVILLE, KY | Team lift out | Ibd to wirehouse | 0.3% |
| UBS FINANCIAL SERVICES INC. | 2 | Dec 23, 2020 | Oct 20, 2022 | CINCINNATI, OH | Team lift out | Ibd to wirehouse | 0.3% |
| J.P. MORGAN SECURITIES LLC | 2 | Nov 4, 2020 | Dec 21, 2020 | COLUMBUS, OH | Team lift out | Ibd to wirehouse | 0.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| FROST INVESTMENT SERVICES | 6 | Aug 7, 2026 | Aug 26, 2026 | SAN ANTONIO, TX | Team lift out | Ibd to ibd | 3.6% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Jul 15, 2026 | Aug 7, 2026 | JACKSONVILLE, FL | Team lift out | Wirehouse to ibd | 0.0% |
| HUNTINGTON FINANCIAL ADVISORS | 2 | May 17, 2023 | Apr 5, 2024 | DUBLIN, OH | Team lift out | Ibd to ibd | 0.5% |
| BFC PLANNING, INC. | 2 | Mar 23, 2022 | Mar 11, 2022 | CEDAR RAPIDS, IA | Team lift out | Ibd to ibd | 1.2% |
| CETERA INVESTMENT ADVISERS LLC | 7 | May 29, 2019 | Jun 4, 2019 | ROSEMONT, IL | Team lift out | Ibd to ibd | 0.5% |
| KEY INVESTMENT SERVICES LLC | 2 | May 2, 2018 | Jun 13, 2018 | LEBANON, IN | Team lift out | Ibd to ibd | 0.8% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Apr 27, 2018 | Jul 19, 2018 | CHICAGO, IL | Team lift out | Wirehouse to ibd | 0.0% |
| SCOTTRADE INVESTMENT MANAGEMENT | 2 | Mar 8, 2018 | May 23, 2018 | SAINT LOUIS, MO | Team lift out | Ibd to ibd | 0.7% |
| STRATEGIC ADVISERS LLC | 2 | Aug 10, 2017 | Sep 23, 2025 | COVINGTON, KY | Team lift out | Other | 0.0% |
| U.S. BANCORP INVESTMENTS, INC. | 2 | Jul 31, 2017 | Jul 30, 2017 | WARRENSVILLE HEIGHTS, OH | Team lift out | Other | 0.4% |
| PNC WEALTH MANAGEMENT | 2 | May 1, 2017 | Jul 7, 2017 | LOUISVILLE, KY | Team lift out | Other | 0.2% |
| PNC WEALTH MANAGEMENT | 2 | Apr 28, 2017 | Jun 14, 2017 | AKRON, OH | Team lift out | Other | 0.2% |
| J.P. MORGAN SECURITIES LLC | 2 | Aug 9, 2016 | Aug 10, 2016 | LOUISVILLE, KY | Team lift out | Other | 0.1% |
| J.P. MORGAN SECURITIES LLC | 2 | Jun 27, 2016 | Jun 29, 2016 | OAK BROOK, IL | Team lift out | Other | 0.1% |
| PNC WEALTH MANAGEMENT | 2 | Jan 8, 2015 | Jan 8, 2015 | INDIANAPOLIS, IN | Team lift out | Other | 0.2% |