Alan R. Veal
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.
Alan Russell Veal, who also goes by Alan R Veal, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1989. Alan had worked at 11 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2011 - March 29, 2012
FIFTH THIRD SECURITIES, INC.
May 26, 2011 - March 29, 2012
FIFTH THIRD SECURITIES, INC.
December 3, 2009 - May 11, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 5, 2009 - May 11, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 21, 2009 - September 11, 2009
JEFFERSON NATIONAL SECURITIES CORPORATION
March 26, 2007 - March 13, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
March 26, 2007 - March 13, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
June 9, 2006 - April 12, 2007
EQUITABLE ADVISORS, LLC
June 9, 2006 - April 12, 2007
EQUITABLE ADVISORS, LLC
August 9, 2005 - June 12, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 5, 2005 - June 12, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 12, 2004 - March 17, 2005
BANC ONE SECURITIES CORPORATION
August 4, 2004 - March 17, 2005
BANC ONE SECURITIES CORPORATION
June 29, 1999 - September 9, 2002
1717 CAPITAL MANAGEMENT COMPANY
June 12, 1997 - June 24, 1999
NATHAN & LEWIS SECURITIES, INC.
January 1, 1996 - November 14, 1996
BANC ONE SECURITIES CORPORATION
May 29, 1991 - July 30, 1994
DONAHUE SECURITIES, INC.
February 14, 1989 - February 26, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
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.
