DB
David A. Beaton
FIFTH THIRD SECURITIES
Troy, MI 48084
Some features on this profile are disabled
CRD#: 1769109
DB
Professional summary
David Andrew Beaton, who also goes by David Andrew Beaton, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Troy, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 9, Series 10, Series 24, Series 8 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Andrew Beaton
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 David Andrew Beaton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Andrew Beaton'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
May 31, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 2282 West Big Beaver Road, Troy, MI 48084Office #2: 41122 Ryan Rd, Sterling Heights, MI 48314Office #3: 442 West Huron Street, Pontiac, MI 48341Office #4: 40980 Hayes Road, Clinton Township, MI 48038Office #5: 3754 Rochester Road, Troy, MI 48083Office #6: 4491 Interpark, Auburn Hills, MI 48326RIA
BD
CRD#: 628
Troy, MI
Current
May 30, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 2282 West Big Beaver Road, Troy, MI 48084Office #2: 41122 Ryan Rd, Sterling Heights, MI 48314Office #3: 442 West Huron Street, Pontiac, MI 48341Office #4: 40980 Hayes Road, Clinton Township, MI 48038Office #5: 3754 Rochester Road, Troy, MI 48083Office #6: 4491 Interpark, Auburn Hills, MI 48326RIA
BD
CRD#: 628
Troy, MI
Past
May 23, 2017 - May 26, 2023
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
STERLING HEIGHTS, MI
Past
May 22, 2017 - May 26, 2023
OPPENHEIMER & CO. INC.
BD
CRD#: 249
STERLING HEIGHTS, MI
Past
October 5, 2009 - May 23, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SHELBY TOWNSHIP, MI
Past
October 5, 2009 - May 23, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SHELBY TOWNSHIP, MI
Past
August 17, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
SHELBY TOWNSHIP, MI
Past
July 2, 1991 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
SHELBY TOWNSHIP, MI
Past
February 7, 1989 - May 21, 1991
MAGELLAN SECURITIES INC
BD
CRD#: 15986
HARPER WOODS, MI
Past
January 28, 1988 - August 1, 1988
AMFUELS SECURITIES CORPORATION
BD
CRD#: 13947
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(6/7/2023)
RR
Arizona(4/4/2025)
RR
California(5/30/2023)
RR
Florida(5/30/2023)
IAR
Florida(5/31/2023)
RR
Georgia(6/7/2023)
RR
Illinois(7/5/2024)
RR
Michigan(5/31/2023)
IAR
Michigan(5/31/2023)
RR
New Jersey(6/7/2023)
RR
New York(6/6/2023)
RR
North Carolina(2/25/2025)
RR
Ohio(6/8/2023)
RR
Pennsylvania(6/8/2023)
RR
Texas(8/19/2024)
RR
Virginia(11/7/2023)
RR
Washington(6/7/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/4/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
