Samuel C. Faris
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.
Samuel Charles Steele Faris, who also goes by Chas Faris, Samuel Charles Faris, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1989. Samuel had worked at 8 firms and has passed the Series 66, 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 25, 2007 - July 13, 2015
FIFTH THIRD SECURITIES, INC.
July 25, 2007 - July 13, 2015
FIFTH THIRD SECURITIES, INC.
May 17, 2006 - July 26, 2007
KEY INVESTMENT SERVICES LLC
May 17, 2006 - July 26, 2007
KEY INVESTMENT SERVICES LLC
April 10, 2003 - May 5, 2006
U.S. BANCORP INVESTMENTS, INC.
December 1, 2001 - May 5, 2006
U.S. BANCORP INVESTMENTS, INC.
May 31, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
July 15, 1998 - May 31, 2000
CONSECO SECURITIES, INC.
September 30, 1997 - June 4, 1998
METROPOLITAN LIFE INSURANCE COMPANY
September 30, 1997 - June 4, 1998
MSI FINANCIAL SERVICES, INC.
July 3, 1995 - July 31, 1997
CONSECO SECURITIES, INC.
July 23, 1993 - June 30, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
April 9, 1992 - August 2, 1993
MSI FINANCIAL SERVICES, INC.
May 23, 1989 - March 10, 1992
MSI FINANCIAL SERVICES, INC.
May 23, 1989 - August 2, 1993
METROPOLITAN LIFE INSURANCE COMPANY
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.
