JS
John K. Shoffner
FIFTH THIRD SECURITIES
CHARLOTTE, NC 28202
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CRD#: 1282963
JS
Professional summary
John Keith Shoffner is a registered financial professional currently at FIFTH THIRD SECURITIES, INC. located in Charlotte, North Carolina.
John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 10, Series 24, Series 9, Series 23, Series 8 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view John Keith Shoffner's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 12, 2011 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 201 N Tryon St, Charlotte, NC 28202RIA
BD
CRD#: 628
CHARLOTTE, NC
Past
November 27, 2009 - August 20, 2010
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
CHARLOTTE, NC
Past
January 2, 1998 - December 16, 2008
TRUIST SECURITIES, INC.
BD
CRD#: 6271
CHARLOTTE, NC
Past
April 17, 1997 - January 2, 1998
SUNTRUST CAPITAL MARKETS, INC.
BD
CRD#: 36888
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FIFTH THIRD SECURITIES, INC.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/5/2015)
RR
Alaska(2/4/2025)
RR
Arizona(2/4/2025)
RR
Arkansas(6/5/2015)
RR
California(6/5/2015)
RR
Colorado(2/4/2025)
RR
Connecticut(6/5/2015)
RR
Delaware(6/5/2015)
RR
District of Columbia(3/18/2020)
RR
Florida(6/5/2015)
RR
Georgia(6/5/2015)
RR
Hawaii(2/4/2025)
RR
Idaho(2/4/2025)
RR
Illinois(6/5/2015)
RR
Indiana(6/5/2015)
RR
Iowa(6/5/2015)
RR
Kansas(6/5/2015)
RR
Kentucky(6/5/2015)
RR
Louisiana(6/5/2015)
RR
Maine(2/4/2025)
RR
Maryland(6/5/2015)
RR
Massachusetts(6/5/2015)
RR
Michigan(6/5/2015)
RR
Minnesota(6/5/2015)
RR
Mississippi(2/4/2025)
RR
Missouri(6/5/2015)
RR
Montana(2/4/2025)
RR
Nebraska(2/4/2025)
RR
Nevada(8/3/2021)
RR
New Hampshire(2/4/2025)
RR
New Jersey(6/5/2015)
RR
New Mexico(2/4/2025)
RR
New York(6/5/2015)
RR
North Carolina(1/12/2011)
RR
North Dakota(6/5/2015)
RR
Ohio(6/6/2015)
RR
Oklahoma(6/5/2015)
RR
Oregon(2/4/2025)
RR
Pennsylvania(6/5/2015)
RR
Puerto Rico(2/4/2025)
RR
Rhode Island(2/4/2025)
RR
South Carolina(6/5/2015)
RR
South Dakota(6/5/2015)
RR
Tennessee(6/5/2015)
RR
Texas(6/8/2015)
RR
Utah(6/5/2015)
RR
Vermont(2/4/2025)
RR
Virginia(6/5/2015)
RR
Washington(2/4/2025)
RR
West Virginia(6/5/2015)
RR
Wisconsin(6/5/2015)
RR
Wyoming(2/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/27/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FIFTH THIRD SECURITIES, INC.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
34 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Mailing Address
38 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Phone number
(888) 889-1025
Established
Ohio since 05/01/1925
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,349
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.
