Jay A. Spiller
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.
Jay Alan Spiller was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1986. Jay had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 53 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 8, 2014 - December 23, 2020
FIFTH THIRD SECURITIES, INC.
June 16, 2014 - December 23, 2020
FIFTH THIRD SECURITIES, INC.
December 14, 2012 - May 3, 2013
LPL FINANCIAL LLC
December 12, 2012 - May 3, 2013
LPL FINANCIAL LLC
October 29, 2004 - December 8, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
October 28, 2004 - December 8, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
August 18, 2003 - October 29, 2004
FISERV INVESTOR SERVICES, INC.
January 21, 2003 - July 30, 2003
NATCITY INVESTMENTS, INC.
September 23, 2002 - July 30, 2003
NATCITY INVESTMENTS, INC.
March 26, 2001 - August 5, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 1998 - December 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 13, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
December 11, 1994 - August 17, 1995
COMPULIFE INVESTOR SERVICES, INC.
December 7, 1989 - December 8, 1994
CAPITAL BROKERAGE CORPORATION
July 25, 1988 - December 14, 1989
CAL FED INVESTMENTS
April 1, 1986 - August 6, 1988
PW 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
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.
