JD
James E. Doster
FIFTH THIRD SECURITIES
Lexington, KY 40513
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CRD#: 1443461
JD
Professional summary
James Edward Doster, who also goes by James E Doster, Jay Doster, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Lexington, Kentucky.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. James has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James E Doster | Jay Doster
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.
CINCY DEVELOPMENT LLC-
NOT INVESTMENT RELATED -
1117 BELVEDERE ST, CINCINNATI, OH 45202 - -
PARTNER -
4-6 HRS/MONTH -
WILL NOT INTERFERE WITH DUTIES AT FIRM -
BUYING DISTRESSED REAL ESTATE FORECLOSURES AND SHORT SALES
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Doster's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edward Doster'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
July 15, 2010 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 3061 Harrodsburg Road, Lexington, KY 40513Office #2: 3100 Richmond Road, Lexington, KY 40509RIA
BD
CRD#: 628
Lexington, KY
Current
July 15, 2010 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 3061 Harrodsburg Road, Lexington, KY 40513Office #2: 3100 Richmond Road, Lexington, KY 40509RIA
BD
CRD#: 628
Lexington, KY
Past
November 13, 2009 - July 12, 2010
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
BEAVERCREEK, OH
Past
November 13, 2009 - July 12, 2010
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
BEAVERCREEK, OH
Past
May 15, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
TROY, OH
Past
October 28, 2005 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
TROY, OH
Past
October 18, 1999 - October 21, 2005
LPL FINANCIAL LLC
RIA
CRD#: 6413
DAYTON, OH
Past
July 21, 1999 - October 21, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
July 1, 1998 - July 26, 1999
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
December 1, 1997 - July 8, 1998
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
April 5, 1995 - December 1, 1997
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
March 27, 1990 - January 5, 1995
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
March 1, 1988 - March 19, 1990
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
January 22, 1986 - February 23, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(7/7/2015)
RR
Florida(10/6/2011)
RR
Georgia(11/19/2020)
RR
Illinois(4/24/2013)
RR
Indiana(7/15/2010)
RR
Kentucky(7/15/2010)
IAR
Kentucky(12/19/2012)
RR
Michigan(5/3/2013)
RR
Nevada(10/13/2015)
RR
New Mexico(11/7/2013)
RR
New York(11/19/2020)
RR
North Carolina(11/7/2013)
RR
Ohio(7/15/2010)
IAR
Ohio(7/15/2010)
RR
Pennsylvania(5/18/2023)
RR
South Carolina(7/13/2016)
RR
Tennessee(12/5/2012)
RR
Texas(2/14/2023)
RR
Utah(11/19/2020)
RR
Virginia(11/7/2013)
RR
West Virginia(7/13/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
Company Information
FIFTH THIRD SECURITIES, INC.
CRD#: 628Lexington, KY 40513TRUST BUT VERIFY
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