Louise A. Borosak
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Louise Ann Borosak, who also goes by Louise Borosak, Louise Ann Rush, Louise Rush, was a registered financial professional .
Louise is a previously registered financial professional and started their career in finance in 1982. Louise had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 7, Series 8, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2013 - September 29, 2017
FIFTH THIRD SECURITIES, INC.
June 5, 2013 - September 29, 2017
FIFTH THIRD SECURITIES, INC.
May 29, 2007 - July 29, 2011
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - July 29, 2011
CITIGROUP GLOBAL MARKETS INC.
January 5, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
June 5, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 7, 1998 - May 29, 2003
CHARLES SCHWAB & CO., INC.
March 17, 1988 - May 29, 2003
CHARLES SCHWAB & CO., INC.
December 16, 1986 - March 8, 1988
OPTION FINANCE CORPORATION
August 7, 1984 - December 1, 1986
J.P. MORGAN SECURITIES LLC
February 3, 1983 - August 6, 1984
CIBC WORLD MARKETS CORP.
October 20, 1982 - February 4, 1983
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 10/30/1985
Foreign Currency Options ExaminationSeries 8
Date: 4/5/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
