James D. Cahn
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 D Cahn, who also goes by James David Cahn, Jamie Cahn, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 8 firms and has passed the Series 63, Series 65, Series 7, Series 22, Series 6, Series 9, Series 10 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
July 16, 2019 - January 31, 2020
FIFTH THIRD SECURITIES, INC.
November 29, 2010 - May 7, 2012
M&I INVESTMENT MANAGEMENT CORP.
June 9, 2006 - April 20, 2012
M&I FINANCIAL ADVISORS, INC
February 21, 2006 - May 24, 2006
CITIGROUP GLOBAL MARKETS INC.
June 27, 1995 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 13, 1986 - May 11, 1995
ALEX. BROWN & SONS INCORPORATED
January 9, 1985 - December 8, 1986
CONSECO FINANCIAL SERVICES, INC.
December 27, 1983 - October 23, 1984
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
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
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.
