DS
Daniel E. Schwartz
FIFTH THIRD SECURITIES
Crescent Springs, KY 41017
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CRD#: 1953971
DS
Professional summary
Daniel Edward Schwartz, who also goes by Daniel Edward Schwartz, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Crescent Springs, Kentucky.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Daniel has worked at 6 firms and has passed the Series 65, Series 63, Series 72, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Edward Schwartz
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.
Rover.com - online booking - dog boarder - 10 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm -------------------------------------------------------- Rental property - 38304 Garden Island View Dr., Beaver Island, MI 49782 - owner/landlord - nominal hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Edward Schwartz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Edward Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 17, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 590 Buttermilk Pike, Crescent Springs, KY 41017RIA
BD
CRD#: 628
Crescent Springs, KY
Current
August 14, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 590 Buttermilk Pike, Crescent Springs, KY 41017RIA
BD
CRD#: 628
Crescent Springs, KY
Past
January 1, 2004 - August 7, 2023
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
NEWPORT, KY
Past
January 1, 2004 - August 7, 2023
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
NEWPORT, KY
Past
June 6, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
NEWPORT, KY
Past
June 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
June 13, 1994 - June 1, 2002
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
February 5, 1993 - June 6, 1994
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
June 20, 1989 - December 8, 1992
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
NEW YORK, NY
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.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
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
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/8/2023)
RR
Colorado(9/7/2023)
RR
Florida(9/8/2023)
RR
Illinois(9/14/2023)
RR
Indiana(8/31/2023)
RR
Kentucky(8/15/2023)
IAR
Kentucky(8/17/2023)
RR
Massachusetts(9/11/2023)
RR
Michigan(9/11/2023)
RR
Minnesota(9/8/2023)
RR
Missouri(9/19/2023)
RR
Montana(9/11/2023)
RR
New Hampshire(9/8/2023)
RR
North Carolina(9/13/2023)
RR
Ohio(8/14/2023)
IAR
Ohio(8/17/2023)
RR
Oregon(9/2/2023)
RR
South Carolina(9/11/2023)
RR
Texas(9/7/2023)
RR
Virginia(9/8/2023)
RR
West Virginia(9/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FIFTH THIRD SECURITIES, INC.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
34 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Mailing Address
38 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Phone number
(888) 889-1025
Established
Ohio since 05/01/1925
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,349
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.
