James M. Narsete
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 Michael Narsete, who also goes by Jim Narsete, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2012 - June 29, 2015
FIFTH THIRD SECURITIES, INC.
July 10, 2012 - June 29, 2015
FIFTH THIRD SECURITIES, INC.
May 27, 2010 - December 16, 2011
PNC WEALTH MANAGEMENT LLC
December 11, 2009 - December 16, 2011
PNC WEALTH MANAGEMENT LLC
August 23, 2006 - November 30, 2009
CHASE INVESTMENT SERVICES CORP.
December 1, 2005 - August 18, 2006
CITIZENS SECURITIES, INC.
October 25, 2004 - December 1, 2005
CHARTER ONE SECURITIES, INC.
December 1, 2001 - July 16, 2004
U.S. BANCORP INVESTMENTS, INC.
March 18, 1999 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
June 24, 1998 - March 5, 1999
CITICORP INVESTMENT SERVICES
December 16, 1996 - July 13, 1998
WMA SECURITIES, INC.
August 2, 1996 - December 16, 1996
NYLIFE SECURITIES LLC
April 28, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 28, 1988 - July 26, 1996
PRUCO SECURITIES, LLC.
October 20, 1987 - April 7, 1988
BROOKLIGHT PLACE 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.
