JB
James Barone
FIFTH THIRD SECURITIES
GROSSE POINTE FARMS, MI 48236
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CRD#: 1836792
JB
James BaroneFIFTH THIRD SECURITIES
Professional summary
James Barone, who also goes by James Scott Barone, Jim Barone, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Grosse Pointe Farms, Michigan.
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 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Aliases
James Scott Barone | Jim Barone
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 Barone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Barone'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
February 28, 2020 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 66 Kercheval, Grosse Pointe Farms, MI 48236Office #3: 36455 Corporate Drive, Farmington Hills, MI 48331Office #4: 16081 Technology Drive, Northville, MI 48168Office #5: 16150 Michigan Ave, Dearborn, MI 48126Office #6: 23120 Allen Road, Woodhaven, MI 48183Office #7: 39400 Woodward Ave Suite 255, Bloomfield Hills, MI 48304Office #8: 1000 Woodward Ave Suite 700, Detroit, MI 48226Office #9: 101 N Washington Square, Lansing, MI 48933Office #10: 101 W. Big Beaver Road Suite 1200, Detroit, MI 48226Office #11: 1339 Horton Road, Jackson, MI 49203Office #12: 1494 John R Road, Troy, MI 48083Office #13: 151 S. Rose Street 6th Floor, Kalamazoo, MI 49004Office #14: 15251 24 Mile Road, Macomb, MI 48042Office #15: 1620 W. Michigan Ave, Jackson, MI 49202Office #16: 1915 E 14 Mile Road, Sterling Heights, MI 48310Office #17: 1955 18 Mile Road, Sterling Heights, MI 48314Office #18: 20180 Mack Avenue, Grosse Pointe Woods, MI 48236Office #19: 20200 Mack Ave, Grosse Pointe Woods, MI 48236Office #20: 215 N 20th Street, Battle Creek, MI 49037Office #21: 223 N Clippert Street, Lansing, MI 48912Office #22: 25950 Pontiac Trail, South Lyon, MI 48178Office #23: 2707 Airport Road, Jackson, MI 49202Office #24: 28801 Groesbeck Hwy, Roseville, MI 48066Office #25: 301 N. Jackson Street, Jackson, MI 49201Office #26: 30200 Harper Ave, St. Clair Shores, MI 48082Office #27: 30244 Milford Road, New Hudson, MI 48165Office #28: 350 S. Main Street Suite 100, Detroit, MI 48226Office #29: 35795 Gratiot Ave, Clinton Twp, MI 48035Office #30: 36910 Van Dyke, Sterling Heights, MI 48312Office #31: 39010 Groesbeck, Clinton Twp, MI 48036Office #32: 411 W Lafayette Blvd, Detroit, MI 48226Office #33: 43020 Van Dyke, Sterling Heights, MI 48314Office #34: 49 W Michigan Ave, Battle Creek, MI 49017Office #35: 5226 S Cedar Street, Lansing, MI 48911Office #36: 5370 Jackson Road, Ann Arbor, MI 48103Office #37: 5510 W Saginaw Hwy, Lansing, MI 48917Office #38: 5671 Whitmore Lake, Brighton, MI 48114Office #39: 7991 Spring Arbor Road, Spring Arbor, MI 49283Office #40: 8520 Hilton Road, Brighton, MI 48114Office #41: 8660 26 Mile Road, Shelby Twp., MI 48316Office #42: 99 Monroe Ave Nw, Grand Rapids, MI 49503Office #43: 19681 Gallahad Drive, Macomb, MI 48044RIA
BD
CRD#: 628
GROSSE POINTE FARMS, MI
Current
February 28, 2020 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 66 Kercheval, Grosse Pointe Farms, MI 48236Office #2: 36455 Corporate Drive, Farmington Hills, MI 48331Office #3: 16081 Technology Drive, Northville, MI 48168Office #4: 16150 Michigan Ave, Dearborn, MI 48126Office #5: 23120 Allen Road, Woodhaven, MI 48183Office #6: 39400 Woodward Ave Suite 255, Bloomfield Hills, MI 48304Office #7: 1000 Woodward Ave Suite 700, Detroit, MI 48226Office #8: 101 N Washington Square, Lansing, MI 48933Office #9: 101 W. Big Beaver Road Suite 1200, Detroit, MI 48226Office #10: 1339 Horton Road, Jackson, MI 49203Office #11: 1494 John R Road, Troy, MI 48083Office #12: 151 S. Rose Street 6th Floor, Kalamazoo, MI 49004Office #13: 15251 24 Mile Road, Macomb, MI 48042Office #14: 1620 W. Michigan Ave, Jackson, MI 49202Office #15: 1915 E 14 Mile Road, Sterling Heights, MI 48310Office #16: 1955 18 Mile Road, Sterling Heights, MI 48314Office #17: 20180 Mack Avenue, Grosse Pointe Woods, MI 48236Office #18: 20200 Mack Ave, Grosse Pointe Woods, MI 48236Office #19: 215 N 20th Street, Battle Creek, MI 49037Office #20: 223 N Clippert Street, Lansing, MI 48912Office #21: 25950 Pontiac Trail, South Lyon, MI 48178Office #22: 2707 Airport Road, Jackson, MI 49202Office #23: 28801 Groesbeck Hwy, Roseville, MI 48066Office #24: 301 N. Jackson Street, Jackson, MI 49201Office #25: 30200 Harper Ave, St. Clair Shores, MI 48082Office #26: 30244 Milford Road, New Hudson, MI 48165Office #27: 350 S. Main Street Suite 100, Detroit, MI 48226Office #28: 35795 Gratiot Ave, Clinton Twp, MI 48035Office #29: 36910 Van Dyke, Sterling Heights, MI 48312Office #30: 39010 Groesbeck, Clinton Twp, MI 48036Office #31: 411 W Lafayette Blvd, Detroit, MI 48226Office #32: 43020 Van Dyke, Sterling Heights, MI 48314Office #33: 49 W Michigan Ave, Battle Creek, MI 49017Office #34: 5226 S Cedar Street, Lansing, MI 48911Office #35: 5370 Jackson Road, Ann Arbor, MI 48103Office #36: 5510 W Saginaw Hwy, Lansing, MI 48917Office #37: 5671 Whitmore Lake, Brighton, MI 48114Office #38: 7991 Spring Arbor Road, Spring Arbor, MI 49283Office #39: 8520 Hilton Road, Brighton, MI 48114Office #40: 8660 26 Mile Road, Shelby Twp., MI 48316Office #41: 99 Monroe Ave Nw, Grand Rapids, MI 49503Office #42: 19681 Gallahad Drive, Macomb, MI 48044RIA
BD
CRD#: 628
GROSSE POINTE FARMS, MI
Past
April 13, 2017 - February 19, 2020
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
SOUTHFIELD, MI
Past
April 13, 2017 - February 19, 2020
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
SOUTHFIELD, MI
Past
July 1, 2016 - May 1, 2017
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
TROY, MI
Past
July 1, 2016 - May 1, 2017
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
TROY, MI
Past
September 17, 2014 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
TROY, MI
Past
December 3, 2013 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
TROY, MI
Past
April 4, 2006 - November 8, 2013
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
BIRMINGHAM, MI
Past
January 21, 1999 - November 8, 2013
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
BIRMINGHAM, MI
Past
June 19, 1995 - July 31, 1998
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
April 27, 1994 - June 19, 1995
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
September 2, 1993 - May 13, 1994
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
September 12, 1988 - September 9, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
September 12, 1988 - September 9, 1993
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
Connecticut(3/18/2020)
RR
District of Columbia(3/18/2020)
RR
Massachusetts(3/18/2020)
RR
Michigan(2/28/2020)
IAR
Michigan(2/28/2020)
RR
Pennsylvania(3/18/2020)
RR
Washington(3/18/2026)
Exams
State Security Law Exam
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
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.
