Gregory L. Poe
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.
Gregory Lee Poe, who also goes by Greg Poe, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1988. Gregory had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2015 - March 7, 2016
FIFTH THIRD SECURITIES, INC.
September 30, 2004 - July 18, 2013
FIFTH THIRD SECURITIES, INC.
April 12, 2000 - October 4, 2004
FIRSTMERIT SECURITIES, INC.
October 29, 1999 - April 27, 2000
LIBERTY LIFE DISTRIBUTORS LLC
January 19, 1999 - September 28, 1999
COMPULIFE INVESTOR SERVICES, INC.
September 18, 1995 - December 17, 1998
CONSECO SECURITIES, INC.
May 26, 1993 - August 14, 1995
L.M. KOHN & COMPANY
February 5, 1990 - May 17, 1993
MARKETING ONE SECURITIES, INC.
January 5, 1989 - August 5, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
July 20, 1988 - October 12, 1988
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 20, 1988 - October 12, 1988
PRUCO SECURITIES, 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
Exams
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.
