John B. Maier
Professional summary
John Boniface Maier, who also goes by Jack Maier II, Jack Maier, John Boniface Maier Ii, John B Maier, is a registered financial professional currently at COMERICA SECURITIES located in Dallas, Texas and FIFTH THIRD SECURITIES, INC. located in Charlotte, North Carolina.
John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Boniface Maier's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 7, 2022 - Present
COMERICA SECURITIES
Office #1: 1717 Main Street, Dallas, TX 75201Office #2: 201 North Tryon Street , Charlotte, NC 28202May 1, 2026 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 201 N Tryon St, Charlotte, NC 28202January 19, 2021 - June 1, 2022
UBS SECURITIES LLC
May 16, 2018 - January 20, 2021
CAPSTONE PARTNERS
September 16, 2011 - November 14, 2018
HEADWATERS BD, LLC
February 12, 2007 - November 29, 2010
B. RILEY SECURITIES, INC.
July 21, 2003 - February 22, 2007
LEGACY PARTNERS GROUP, LLC
November 3, 2000 - December 31, 2002
CREDIT SUISSE SECURITIES (USA) LLC
June 30, 1997 - September 27, 2002
PERSHING LLC
October 20, 1993 - July 15, 1997
DRESDNER KLEINWORT WASSERSTEIN, LLC
April 19, 1988 - July 5, 1989
DUNLEVY & CO., INCORPORATED
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
(5/1/2026)
(5/1/2026)
(5/1/2026)
(4/30/2026)
(5/1/2026)
(4/30/2026)
(6/7/2022)
(5/1/2026)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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.
Company Information
FIFTH THIRD SECURITIES, INC.
CRD#: 628Dallas, TX 75201TRUST BUT VERIFY
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