JF
James A. Fredrikson
FIFTH THIRD SECURITIES
Brentwood, TN 37027
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CRD#: 1709731
JF
Professional summary
James Andrew Fredrikson, CFP®, who also goes by James A Fredrikson, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Brentwood, Tennessee.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 24, Series 53, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James A Fredrikson
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) - RIA
Click below to view James Andrew Fredrikson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Andrew Fredrikson'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®
Experience
Current
October 27, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 5000 Maryland Way, Brentwood, TN 37027Office #2: 5045 Carothers Parkway, Franklin, TN 37067Office #3: 1713 Mallory Lane, Brentwood, TN 37027Office #4: 495 Old Hickory Blvd., Brentwood, TN 37027Office #5: 6674 Nolensville Pike, Brentwood, TN 37027Office #6: 5820 Nolensville, Nashville, TN 37211Office #7: 2040 Fieldstone Parkway, Franklin, TN 37069RIA
BD
CRD#: 628
Brentwood, TN
Current
October 26, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 5000 Maryland Way, Brentwood, TN 37027Office #2: 5045 Carothers Parkway, Franklin, TN 37067Office #3: 1713 Mallory Lane, Brentwood, TN 37027Office #4: 495 Old Hickory Blvd., Brentwood, TN 37027Office #5: 6674 Nolensville Pike, Brentwood, TN 37027Office #6: 5820 Nolensville, Nashville, TN 37211Office #7: 2040 Fieldstone Parkway, Franklin, TN 37069RIA
BD
CRD#: 628
Brentwood, TN
Past
February 26, 2007 - July 22, 2022
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
ROSEMONT, IL
Past
February 23, 2007 - July 22, 2022
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
ROSEMONT, IL
Past
March 10, 2003 - February 15, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
RIDGEWOOD, NJ
Past
March 6, 2003 - February 15, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
RIDGEWOOD, NJ
Past
August 23, 1996 - February 11, 2003
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SCOTTSDALE, AZ
Past
July 31, 1993 - February 11, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 2, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 23, 1988 - June 22, 1992
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Alabama(11/15/2023)
RR
Arizona(11/21/2023)
RR
Arkansas(11/27/2023)
RR
California(11/16/2023)
RR
Connecticut(4/18/2024)
RR
District of Columbia(7/25/2024)
RR
Florida(10/27/2023)
RR
Georgia(11/17/2023)
RR
Hawaii(9/4/2025)
RR
Idaho(6/13/2025)
RR
Illinois(10/27/2023)
IAR
Illinois(10/27/2023)
RR
Indiana(10/30/2023)
RR
Kansas(11/15/2023)
RR
Kentucky(11/15/2023)
RR
Louisiana(8/27/2025)
RR
Minnesota(5/5/2025)
RR
Montana(11/21/2023)
RR
New Jersey(11/15/2023)
RR
New York(11/16/2023)
RR
North Carolina(11/18/2023)
RR
Ohio(10/1/2025)
RR
Oklahoma(11/16/2023)
RR
Pennsylvania(11/16/2023)
RR
South Carolina(11/15/2023)
RR
Tennessee(10/27/2023)
IAR
Tennessee(11/28/2023)
RR
Texas(11/16/2023)
RR
Virginia(11/16/2023)
RR
Washington(11/15/2023)
RR
West Virginia(5/8/2025)
RR
Wisconsin(11/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 10/26/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/29/1991
General Securities Sales Supervisor Examination (Options Module & General Module)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.
