James Barone
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.
Question & Answer
Aliases
Other business activities
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
Experience
February 28, 2020 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 66 Kercheval, Grosse Pointe Farms, MI 48236February 28, 2020 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 66 Kercheval, Grosse Pointe Farms, MI 48236April 13, 2017 - February 19, 2020
CITIZENS SECURITIES, INC.
April 13, 2017 - February 19, 2020
CITIZENS SECURITIES, INC.
July 1, 2016 - May 1, 2017
OSAIC INSTITUTIONS, INC.
July 1, 2016 - May 1, 2017
OSAIC INSTITUTIONS, INC.
September 17, 2014 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
December 3, 2013 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
April 4, 2006 - November 8, 2013
THE HUNTINGTON INVESTMENT COMPANY
January 21, 1999 - November 8, 2013
THE HUNTINGTON INVESTMENT COMPANY
June 19, 1995 - July 31, 1998
GUARANTY BROKERAGE SERVICES, INC.
April 27, 1994 - June 19, 1995
WALL STREET ACCESS
September 2, 1993 - May 13, 1994
ESSEX NATIONAL SECURITIES, LLC
September 12, 1988 - September 9, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 12, 1988 - September 9, 1993
EQUITABLE ADVISORS, LLC
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
(3/18/2020)
(3/18/2020)
(3/18/2020)
(2/28/2020)
(2/28/2020)
(3/18/2020)
Exams
FINRA
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.
