DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

VISHAL SHARMA

Advisor at FIFTH THIRD SECURITIES, INC.

Royal Oaks, MI | Bloomfield Hills, MI | Troy, MI | Bloomfield, MI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d53c3de5-0969-ad0f-1ca8-e44812766bc1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Dec 18, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIFTH THIRD SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 11, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S66|S65
First exam: Oct 11, 2001
First registration: Dec 18, 2002
Dual registered: yes, broker-dealer
Other names: VISHAL SHARMA
IAPD individual key: 4418727

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Aug 10, 2026	n/a	yes	Bloomfield, MI\|Bloomfield Hills, MI\|Troy, MI\|Royal Oaks, MI	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Jun 16, 2025	Aug 6, 2026	no	TROY, MI	Previous registration
ALPHA ASSET ADVISORS LLC	State registered	Jan 4, 2024	Aug 14, 2025	no	ROYAL OAK, MI	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 29, 2018	Jan 7, 2020	no	ROSEVILLE, CA\|FOLSOM, CA\|GRANITE BAY, CA\|SACRAMENTO, CA\|SACRAMENTO, CA\|EL DORADO HILLS, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Jul 11, 2018	no	LOS ANGELES, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|MANHATTAN BEACH, CA\|EL SEGUNDO, CA\|MANHATTAN BEACH, CA\|HERMOSA BEACH, CA\|Dallas, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 6, 2005	Oct 1, 2012	no	LOS ANGELES, CA\|LOS ANGELES, CA\|PALATINE, IL\|LOS ANGELES, CA\|LOS ANGELES, CA\|BIRMINGHAM, MI\|PARK RIDGE, IL\|CHICAGO, IL\|LOS ANGELES, CA\|SHELBY TOWNSHIP, MI	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Dec 18, 2002	Jul 6, 2005	no	SHELBY TOWNSHIP, MI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL ENTERPRISE, LLC	FIFTH THIRD SECURITIES, INC.	Aug 6, 2026	Aug 10, 2026	4	Firm change	Ibd to ibd
ALPHA ASSET ADVISORS LLC	LPL ENTERPRISE, LLC	Aug 14, 2025	Jun 16, 2025	-59	Firm change after gap	Other
WELLS FARGO ADVISORS	ALPHA ASSET ADVISORS LLC	Jan 7, 2020	Jan 4, 2024	1,458	Firm change after gap	Wirehouse to state RIA
J.P. MORGAN SECURITIES LLC	WELLS FARGO ADVISORS	Jul 11, 2018	Jun 29, 2018	-12	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
BANC ONE SECURITIES CORPORATION	CHASE INVESTMENT SERVICES CORP.	Jul 6, 2005	Jul 6, 2005	0	Bulk transfer	Other

Relationships

Registered with (7)

→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: current employment
Aug 10, 2026 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
Jun 16, 2025 to Aug 6, 2026factForm ADV
→ ALPHA ASSET ADVISORS LLCRegistered adviserregistration: previous registration
Jan 4, 2024 to Aug 14, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 29, 2018 to Jan 7, 2020factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Jul 11, 2018factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 6, 2005 to Oct 1, 2012factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Dec 18, 2002 to Jul 6, 2005factForm ADV

Dated events

Occurred
Aug 6, 2026
Advisor changed firm
Vishal Sharma left Lpl Enterprise, Llc for Fifth Third Securities, Inc. (registered 2026-08-10)
Form ADVobserved 4 days ago
Occurred
Aug 14, 2025
Advisor changed firm
Vishal Sharma left Alpha Asset Advisors Llc for Lpl Enterprise, Llc (registered 2025-06-16)
Form ADVobserved 4 days ago