David A. Pryor

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CRD#: 1780676

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.

David Austin Pryor, who also goes by Dave Pryor, was a registered financial advisor .

David is a previously registered financial advisor and started their career in finance in 1996. David had worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Pryor

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 18, 2005 - December 20, 2005

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

DOWAGIC, MI

Past

March 29, 2005 - December 20, 2005

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

January 3, 2005 - February 24, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 3, 2005 - February 24, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

October 17, 2003 - December 10, 2004

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

January 27, 2003 - October 20, 2003

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

November 1, 1996 - January 30, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/4/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/31/1996

Investment Company Products/Variable Contracts Representative Examination

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PASSAGEWAY MANAGED ACCOUNT PROGRAM BROCHURE (7/14/2025)

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	Cover Page	Report
08/26/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

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Firm Stability Insights

David A. Pryor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIFTH THIRD SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

BNY MELLON SECURITIES LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

FIFTH THIRD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/4/1996

Series 7

Date: 11/17/1998

Series 6

Date: 10/31/1996

Current Firm

FIFTH THIRD SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIFTH THIRD SECURITIES, INC.

TRUST BUT VERIFY

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