James B. Zessin
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.
James Bradley Zessin, who also goes by Brad Zessin, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 3, Series 7, Series 6 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2006 - December 23, 2020
FIFTH THIRD SECURITIES, INC.
October 10, 2006 - December 23, 2020
FIFTH THIRD SECURITIES, INC.
January 10, 2005 - September 15, 2006
NATCITY INVESTMENTS, INC.
January 10, 2005 - September 15, 2006
NATCITY INVESTMENTS, INC.
February 22, 1999 - January 13, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 1991 - January 13, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 1989 - May 1, 1990
GAIN SECURITIES
March 14, 1989 - December 22, 1989
METROPOLITAN LIFE INSURANCE COMPANY
March 14, 1989 - May 31, 1990
MSI FINANCIAL SERVICES, INC.
January 28, 1985 - September 24, 1988
AMERIPRISE ADVISOR SERVICES, INC.
March 8, 1984 - August 20, 1984
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
December 1, 1983 - March 10, 1984
FORESTERS FINANCIAL SERVICES, 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 7TO
Date: 3/19/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/19/2024
Investment Company Products/Variable Contracts 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.
