RC
Richard Casey
FIFTH THIRD SECURITIES
West Chester, OH 45069
Some features on this profile are disabled
CRD#: 2000360
RC
Professional summary
Richard Casey, who also goes by Richard Lee Casey, Rick Casey, Richard L. Casey, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in West Chester, Ohio.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Lee Casey | Rick Casey | Richard L. Casey
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.
Excellence Labs LLC - Liberty Township,OH,45069 - Consultative speaking - President - 40 hrs/mo (1 mkt hr/mo) - not securities related - will not interfere with duties at firm
CRS (Client Relationship Summary) - RIA
Click below to view Richard Casey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Casey'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
June 24, 2021 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 7810 Tylersville Square Drive, West Chester, OH 45069RIA
BD
CRD#: 628
West Chester, OH
Current
June 24, 2021 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 7810 Tylersville Square Drive, West Chester, OH 45069RIA
BD
CRD#: 628
West Chester, OH
Past
October 1, 2012 - August 12, 2020
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Cincinnati, OH
Past
October 1, 2012 - August 12, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Cincinnati, OH
Past
May 20, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
BELLEVUE, KY
Past
May 18, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BELLEVUE, KY
Past
January 6, 2010 - May 14, 2010
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
BRENTWOOD, TN
Past
October 7, 2009 - May 14, 2010
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
BRENTWOOD, TN
Past
August 5, 2008 - April 23, 2009
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
May 3, 2007 - August 4, 2008
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
October 17, 2006 - April 27, 2007
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
WILMINGTON, OH
Past
June 13, 2005 - April 27, 2007
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
WILMINGTON, OH
Past
March 19, 2001 - May 19, 2005
VOYA INVESTMENTS DISTRIBUTOR, LLC
BD
CRD#: 37886
WINDSOR, CT
Past
February 5, 2001 - March 21, 2001
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
COLUMBUS, OH
Past
February 6, 1995 - December 31, 2000
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
January 3, 1990 - February 6, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
BD
CRD#: 20221
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
Connecticut(7/12/2021)
RR
District of Columbia(7/9/2021)
RR
Kentucky(6/24/2021)
RR
Massachusetts(7/12/2021)
RR
Ohio(6/24/2021)
IAR
Ohio(6/24/2021)
RR
Pennsylvania(8/4/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
FIFTH THIRD SECURITIES, INC.
CRD#: 628West Chester, OH 45069TRUST BUT VERIFY
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