JB
James Barone
FIFTH THIRD SECURITIES
GROSSE POINTE FARMS, MI
·CRD# 1836792·38 years experienceProfessional 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...
At a Glance
Advisory Accounts Only
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Scott Barone, Jim Barone
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
38 years in the financial services industry
Current & Past Employments
FIFTH THIRD SECURITIES, INC.·CRD# 628
1. 66 Kercheval, Grosse Pointe Farms, MI 482362. Warren, MI3. 36455 Corporate Drive, Farmington Hills, MI 483314. 16081 Technology Drive, Northville, MI 481685. 16150 Michigan Ave, Dearborn, MI 481266. 23120 Allen Road, Woodhaven, MI 481837. 39400 Woodward Ave Suite 255, Bloomfield Hills, MI 483048. 1000 Woodward Ave Suite 700, Detroit, MI 482269. 101 W. Big Beaver Road Suite 1200, Detroit, MI 4822610. 1339 Horton Road, Jackson, MI 4920311. 1494 John R Road, Troy, MI 4808312. 151 S. Rose Street 6th Floor, Kalamazoo, MI 4900413. 15251 24 Mile Road, Macomb, MI 4804214. 1955 18 Mile Road, Sterling Heights, MI 4831415. 20180 Mack Avenue, Grosse Pointe Woods, MI 4823616. 215 N 20th Street, Battle Creek, MI 4903717. 223 N Clippert Street, Lansing, MI 4891218. 25950 Pontiac Trail, South Lyon, MI 4817819. 2707 Airport Road, Jackson, MI 4920220. 28801 Groesbeck Hwy, Roseville, MI 4806621. 301 N. Jackson Street, Jackson, MI 4920122. 30200 Harper Ave, St. Clair Shores, MI 4808223. 30244 Milford Road, New Hudson, MI 4816524. 350 S. Main Street Suite 100, Detroit, MI 4822625. 35795 Gratiot Ave, Clinton Twp, MI 4803526. 36910 Van Dyke, Sterling Heights, MI 4831227. 39010 Groesbeck, Clinton Twp, MI 4803628. 411 W Lafayette Blvd, Detroit, MI 4822629. 43020 Van Dyke, Sterling Heights, MI 4831430. 49 W Michigan Ave, Battle Creek, MI 4901731. 5370 Jackson Road, Ann Arbor, MI 4810332. 5510 W Saginaw Hwy, Lansing, MI 4891733. 5671 Whitmore Lake, Brighton, MI 4811434. 7991 Spring Arbor Road, Spring Arbor, MI 4928335. 8520 Hilton Road, Brighton, MI 4811436. 99 Monroe Ave Nw, Grand Rapids, MI 4950337. 19681 Gallahad Drive, Macomb, MI 4804438. 3000 Union Lake Road, Commerce Township, MI 4838239. 2730 East West Maple Street, Commerce Township, MI 4838240. 3400 Woodward Avenue Suite 165, Bloomfield, MI 4830441. 36440 Woodward Avenue, Bloomfield, MI 4830442. 4999 Crooks Road, Troy, MI 4809843. 25745 Ford Road, Dearborn Heights, MI 4812744. 31500 W 12 Mile Rd, Farmington Hills, MI 4833445. 29409 Ryan Rd, Warren, MI 4809246. 29333 Northwestern Hwy, Southfield, MI 4803447. 13655 Fifteen Mile Rd, Sterling Heights, MI 4831248. 4200 17 Mile Rd, Sterling Heights, MI 4831049. 4980 N Adams Rd, Rochester, MI 4830650. 42345 Ann Arbor Rd E, Plymouth, MI 4817051. 11531 Belleville Rd, Belleville, MI 4811152. 1616 N Saginaw Rd, Midland, MI 4864053. 33452 W 8 Mile Rd, Farmington, MI 4833554. 19333 W Eight Mile Rd, Detroit, MI 4821955. 14700 Pardee Rd, Taylor, MI 4818056. 15455 N Haggerty Rd, Plymouth, MI 4817057. 2200 W Fort St, Detroit, MI 4821658. 36965 Garfield Rd, Clinton Township, MI 4803559. 47440 Grand River Ave, Novi, MI 4837460. 19401 Grand River Ave, Detroit, MI 4822361. 2281 Gratiot Ave, Detroit, MI 4820762. 25192 Greenfield Rd, Oak Park, MI 4823763. 5560 Gull Rd, Kalamazoo, MI 4904864. 260 Brown Rd, Auburn Hills, MI 4832665. 2631 E Jefferson Ave, Detroit, MI 4820766. 13233 E Jefferson Ave, Detroit, MI 4821567. 25300 Kelly Rd, Roseville, MI 4806668. 1237 S Lapeer Rd, Lake Orion, MI 4836069. 1050 S Latson Dr, Howell, MI 4884370. 14530 Livernois Ave, Detroit, MI 4823871. 10951 Highland Rd, White Lake, MI 4838672. 151 S Rose St, Kalamazoo, MI 4900773. 2730 E West Maple Rd, Commerce Township, MI 4839074. 4057 W Maple Rd, Bloomfield Hills, MI 4830175. 16933 Meyers Rd, Detroit, MI 4823576. 18225 Allen Rd, Melvindale, MI 4812277. 4829 Marsh Rd, Okemos, MI 4886478. 45420 Michigan Ave, Canton, MI 4818879. 875 W Norton Ave, Norton Shores, MI 4944180. 7720 Michigan Ave, Detroit, MI 4821081. 20555 Mound Rd, Detroit, MI 4823482. 2730 Sanford St, Muskegon Heights, MI 4944483. 4430 Orchard Lake Rd, West Bloomfield Township, MI 4832384. 3663 Woodward Ave Suite 140, Detroit, MI 4820185. 645 Griswold St Suite 70, Detroit, MI 4822686. 2665 Plymouth Rd, Ann Arbor, MI 4810587. 7941 S Westnedge Ave, Portage, MI 4900288. 4035 Rochester Rd, Troy, MI 4808589. 36450 Goddard Rd, Romulus, MI 4817490. 7789 Sashabaw Rd, Village Of Clarkston, MI 4834891. 27367 Schoolcraft, Redford, MI 4823992. 29252 Southfield Rd, Southfield, MI 4807693. 1969 W Stadium Blvd, Ann Arbor, MI 4810394. 4401 S Telegraph Rd, Dearborn Heights, MI 4812595. 4225 E 10 Mile Rd, Warren, MI 4809196. 24770 Telegraph Rd, Southfield, MI 4803397. 13500 W Chicago St, Detroit, MI 4822898. 3012 Walton Blvd, Rochester Hills, MI 4830999. 19810 W Warren Ave, Detroit, MI 48228100. 360 S Wayne Rd, Westland, MI 48186101. 188 N Old Woodward Ave, Birmingham, MI 48009102. 43332 Woodward Ave, Bloomfield Hills, MI 48302RIA
BD
FIFTH THIRD SECURITIES, INC.·CRD# 628
1. 66 Kercheval, Grosse Pointe Farms, MI 482362. 36455 Corporate Drive, Farmington Hills, MI 483313. 16081 Technology Drive, Northville, MI 481684. 16150 Michigan Ave, Dearborn, MI 481265. 23120 Allen Road, Woodhaven, MI 481836. 39400 Woodward Ave Suite 255, Bloomfield Hills, MI 483047. 1000 Woodward Ave Suite 700, Detroit, MI 482268. 101 W. Big Beaver Road Suite 1200, Detroit, MI 482269. 1339 Horton Road, Jackson, MI 4920310. 1494 John R Road, Troy, MI 4808311. 151 S. Rose Street 6th Floor, Kalamazoo, MI 4900412. 15251 24 Mile Road, Macomb, MI 4804213. 1955 18 Mile Road, Sterling Heights, MI 4831414. 20180 Mack Avenue, Grosse Pointe Woods, MI 4823615. 215 N 20th Street, Battle Creek, MI 4903716. 223 N Clippert Street, Lansing, MI 4891217. 25950 Pontiac Trail, South Lyon, MI 4817818. 2707 Airport Road, Jackson, MI 4920219. 28801 Groesbeck Hwy, Roseville, MI 4806620. 301 N. Jackson Street, Jackson, MI 4920121. 30200 Harper Ave, St. Clair Shores, MI 4808222. 30244 Milford Road, New Hudson, MI 4816523. 350 S. Main Street Suite 100, Detroit, MI 4822624. 35795 Gratiot Ave, Clinton Twp, MI 4803525. 36910 Van Dyke, Sterling Heights, MI 4831226. 39010 Groesbeck, Clinton Twp, MI 4803627. 411 W Lafayette Blvd, Detroit, MI 4822628. 43020 Van Dyke, Sterling Heights, MI 4831429. 49 W Michigan Ave, Battle Creek, MI 4901730. 5370 Jackson Road, Ann Arbor, MI 4810331. 5510 W Saginaw Hwy, Lansing, MI 4891732. 5671 Whitmore Lake, Brighton, MI 4811433. 7991 Spring Arbor Road, Spring Arbor, MI 4928334. 8520 Hilton Road, Brighton, MI 4811435. 99 Monroe Ave Nw, Grand Rapids, MI 4950336. 19681 Gallahad Drive, Macomb, MI 4804437. 3000 Union Lake Road, Commerce Township, MI 4838238. 2730 East West Maple Street, Commerce Township, MI 4838239. 3400 Woodward Avenue Suite 165, Bloomfield, MI 4830440. 36440 Woodward Avenue, Bloomfield, MI 4830441. 4999 Crooks Road, Troy, MI 4809842. 25745 Ford Road, Dearborn Heights, MI 4812743. 31500 W 12 Mile Rd, Farmington Hills, MI 4833444. 29409 Ryan Rd, Warren, MI 4809245. 29333 Northwestern Hwy, Southfield, MI 4803446. 13655 Fifteen Mile Rd, Sterling Heights, MI 4831247. 4200 17 Mile Rd, Sterling Heights, MI 4831048. 4980 N Adams Rd, Rochester, MI 4830649. 42345 Ann Arbor Rd E, Plymouth, MI 4817050. 11531 Belleville Rd, Belleville, MI 4811151. 1616 N Saginaw Rd, Midland, MI 4864052. 33452 W 8 Mile Rd, Farmington, MI 4833553. 19333 W Eight Mile Rd, Detroit, MI 4821954. 14700 Pardee Rd, Taylor, MI 4818055. 15455 N Haggerty Rd, Plymouth, MI 4817056. 2200 W Fort St, Detroit, MI 4821657. 36965 Garfield Rd, Clinton Township, MI 4803558. 47440 Grand River Ave, Novi, MI 4837459. 19401 Grand River Ave, Detroit, MI 4822360. 2281 Gratiot Ave, Detroit, MI 4820761. 25192 Greenfield Rd, Oak Park, MI 4823762. 5560 Gull Rd, Kalamazoo, MI 4904863. 260 Brown Rd, Auburn Hills, MI 4832664. 2631 E Jefferson Ave, Detroit, MI 4820765. 13233 E Jefferson Ave, Detroit, MI 4821566. 25300 Kelly Rd, Roseville, MI 4806667. 1237 S Lapeer Rd, Lake Orion, MI 4836068. 1050 S Latson Dr, Howell, MI 4884369. 14530 Livernois Ave, Detroit, MI 4823870. 10951 Highland Rd, White Lake, MI 4838671. 151 S Rose St, Kalamazoo, MI 4900772. 2730 E West Maple Rd, Commerce Township, MI 4839073. 4057 W Maple Rd, Bloomfield Hills, MI 4830174. 16933 Meyers Rd, Detroit, MI 4823575. 18225 Allen Rd, Melvindale, MI 4812276. 4829 Marsh Rd, Okemos, MI 4886477. 45420 Michigan Ave, Canton, MI 4818878. 875 W Norton Ave, Norton Shores, MI 4944179. 7720 Michigan Ave, Detroit, MI 4821080. 20555 Mound Rd, Detroit, MI 4823481. 2730 Sanford St, Muskegon Heights, MI 4944482. 4430 Orchard Lake Rd, West Bloomfield Township, MI 4832383. 3663 Woodward Ave Suite 140, Detroit, MI 4820184. 645 Griswold St Suite 70, Detroit, MI 4822685. 2665 Plymouth Rd, Ann Arbor, MI 4810586. 7941 S Westnedge Ave, Portage, MI 4900287. 4035 Rochester Rd, Troy, MI 4808588. 36450 Goddard Rd, Romulus, MI 4817489. 7789 Sashabaw Rd, Village Of Clarkston, MI 4834890. 27367 Schoolcraft, Redford, MI 4823991. 29252 Southfield Rd, Southfield, MI 4807692. 1969 W Stadium Blvd, Ann Arbor, MI 4810393. 4401 S Telegraph Rd, Dearborn Heights, MI 4812594. 4225 E 10 Mile Rd, Warren, MI 4809195. 24770 Telegraph Rd, Southfield, MI 4803396. 13500 W Chicago St, Detroit, MI 4822897. 3012 Walton Blvd, Rochester Hills, MI 4830998. 19810 W Warren Ave, Detroit, MI 4822899. 360 S Wayne Rd, Westland, MI 48186100. 188 N Old Woodward Ave, Birmingham, MI 48009101. 43332 Woodward Ave, Bloomfield Hills, MI 48302RIA
BD
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Current Firm
FIFTH THIRD SECURITIES, INC.CRD#: 628 / SEC#: 801-63623, 8-2428
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Contact Information
Main Address
34 Fountain Square Plaza Md 1090xb, Cincinnati, OH 45263Mailing Address
38 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263Phone Number
(888) 889-1025Established
Ohio since 05/01/1925Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
13,533SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
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
47,014AUM (Assets Under Management)
$10,924,793,999Disclosures
Regulatory Event
38Arbitration
19Accountant 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 |
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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.
farm rental - Coldwater, MI 49036 - agriculture - owner - nominal hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm
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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.CRD#: 628 / SEC#: 801-63623, 8-2428
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
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
RR
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)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1988About the Series 6 examFINRA
SRO Registrations
SRO Registrations
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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).
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