Peter M. Johnson
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.
Peter Martin Johnson was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1983. Peter had worked at 13 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2015 - January 18, 2022
FIFTH THIRD SECURITIES, INC.
February 17, 2012 - October 19, 2015
BMO CAPITAL MARKETS GKST INC.
August 22, 2011 - February 13, 2012
OPPENHEIMER & CO. INC.
July 23, 2010 - August 19, 2011
FIFTH THIRD SECURITIES, INC.
June 3, 2008 - July 19, 2010
OPPENHEIMER & CO. INC.
February 15, 2005 - December 13, 2007
LASALLE FINANCIAL SERVICES, INC.
May 11, 1998 - March 4, 2005
HOWE BARNES HOEFER & ARNETT, INC.
August 5, 1997 - March 19, 1998
FIRST OF AMERICA SECURITIES, INC.
April 10, 1996 - June 17, 1997
DAIN RAUSCHER INCORPORATED
September 7, 1994 - April 8, 1996
ABN AMRO INCORPORATED
September 27, 1993 - April 22, 1994
CITIGROUP GLOBAL MARKETS INC.
February 22, 1989 - September 28, 1993
LEHMAN BROTHERS INC.
February 20, 1985 - March 27, 1987
KIDDER, PEABODY & CO. INCORPORATED
January 26, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
April 19, 1983 - August 19, 1983
SAUERMAN SECURITIES, INC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
