DR
Don R. Roberts
FIFTH THIRD SECURITIES
Atlanta, GA 30326
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CRD#: 1746931
DR
Professional summary
Don Rowland Roberts III is a registered financial professional currently at FIFTH THIRD SECURITIES, INC. located in Atlanta, Georgia.
Don is registered as a RR (Registered Representative) and started their career in finance in 1987. Don has worked at 8 firms and has passed the Series 63, Series 72, SIE, Series 3 and Series 7 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 Don Rowland Roberts III'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
April 29, 2015 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 3344 Peachtree Rd Ne, Atlanta, GA 30326RIA
BD
CRD#: 628
Atlanta, GA
Past
October 2, 2012 - May 4, 2015
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ATLANTA, GA
Past
December 4, 2006 - March 14, 2013
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
ATLANTA, GA
Past
January 2, 1998 - December 7, 2006
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
October 24, 1994 - January 2, 1998
SUNTRUST CAPITAL MARKETS, INC.
BD
CRD#: 36888
ATLANTA, GA
Past
July 18, 1988 - October 24, 1994
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
May 14, 1988 - July 14, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
October 21, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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(4/29/2015)
RR
Alaska(12/13/2022)
RR
Arizona(12/13/2022)
RR
Arkansas(4/29/2015)
RR
California(9/29/2015)
RR
Colorado(9/29/2015)
RR
Connecticut(9/29/2015)
RR
Delaware(9/29/2015)
RR
District of Columbia(9/29/2015)
RR
Florida(4/29/2015)
RR
Georgia(4/29/2015)
RR
Hawaii(12/13/2022)
RR
Idaho(12/13/2022)
RR
Illinois(9/29/2015)
RR
Indiana(9/29/2015)
RR
Iowa(12/13/2022)
RR
Kansas(12/13/2022)
RR
Kentucky(4/29/2015)
RR
Louisiana(4/29/2015)
RR
Maine(12/13/2022)
RR
Maryland(9/29/2015)
RR
Massachusetts(9/29/2015)
RR
Michigan(9/29/2015)
RR
Minnesota(9/29/2015)
RR
Mississippi(4/29/2015)
RR
Missouri(4/29/2015)
RR
Montana(12/13/2022)
RR
Nebraska(9/29/2015)
RR
Nevada(9/29/2015)
RR
New Hampshire(12/13/2022)
RR
New Jersey(9/29/2015)
RR
New Mexico(12/13/2022)
RR
New York(9/29/2015)
RR
North Carolina(5/5/2015)
RR
North Dakota(12/13/2022)
RR
Ohio(4/29/2015)
RR
Oklahoma(4/29/2015)
RR
Oregon(9/29/2015)
RR
Pennsylvania(9/29/2015)
RR
Puerto Rico(9/29/2015)
RR
Rhode Island(9/29/2015)
RR
South Carolina(4/29/2015)
RR
South Dakota(12/13/2022)
RR
Tennessee(12/13/2022)
RR
Texas(4/29/2015)
RR
Utah(9/29/2015)
RR
Vermont(12/13/2022)
RR
Virginia(4/29/2015)
RR
Washington(9/29/2015)
RR
West Virginia(4/29/2015)
RR
Wisconsin(9/29/2015)
RR
Wyoming(12/13/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
