DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

James Alexander Mollison

Fifth Third Securities, Inc.BD affiliatedGrosse Pointe Woods, Mi dual registrantIAPD 6351604

Feed of 09/14/2026

At current firm

0 y

since Jun 26, 2026

In the industry

12 y

since Aug 19, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Fifth Third Securities, Inc. BD affiliated current
since Jun 26, 2026 · Roseville, Mi
LPL Financial LLC BD affiliated
Feb 1, 2024 to Jun 22, 2026 · Beverly Hills, Mi
Osaic Institutions, Inc. BD affiliated
May 6, 2022 to Feb 1, 2024 · Westland, Mi
Pruco Securities, LLC no RAUM
Feb 8, 2022 to May 16, 2022 · Troy, Mi
Citizens Securities, Inc. BD affiliated
Sep 5, 2018 to Dec 31, 2020 · Berkeley, Mi

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to Fifth Third Securities, Inc.
left Jun 22, 2026, registered Jun 26, 2026 (4 days) · Affiliated broker-dealer or bank to another
Osaic Institutions, Inc. to LPL Financial LLC
left Feb 1, 2024, registered Feb 1, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
Pruco Securities, LLC to Osaic Institutions, Inc.
left May 16, 2022, registered May 6, 2022 (-10 days) · Affiliated broker-dealer or bank to another
Citizens Securities, Inc. to Pruco Securities, LLC
left Dec 31, 2020, registered Feb 8, 2022 (404 days) · Affiliated broker-dealer or bank to another

Signals

James Alexander Mollison left Lpl Financial Llc for Fifth Third Securities, Inc. (registered 2026-06-26)
Jun 22, 2026 · Advisor changed firm · fact
James Alexander Mollison left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2024-02-01)
Feb 1, 2024 · Advisor changed firm · fact
James Alexander Mollison left Pruco Securities, Llc for Osaic Institutions, Inc. (registered 2022-05-06)
May 16, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address