DG
Deborah Gellman
FIFTH THIRD SECURITIES
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 2012105
DG
Professional summary
Deborah Gellman, who also goes by Deb Gellman, Deborah Sarah Gellman, is a registered financial professional currently at FIFTH THIRD SECURITIES, INC. located in New York, New York.
Deborah is registered as a RR (Registered Representative) and started their career in finance in 1989. Deborah has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Deb Gellman | Deborah Sarah Gellman
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Deborah Gellman'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
October 16, 2020 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 50 Rockefeller Plaza 11th Floor, Suite 1101, New York, NY 10020RIA
BD
CRD#: 628
NEW YORK, NY
Past
January 2, 2013 - August 31, 2020
BB&T SECURITIES, LLC
BD
CRD#: 142785
NEW YORK, NY
Past
December 20, 2011 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
NEW YORK, NY
Past
February 18, 2010 - December 5, 2011
MF GLOBAL INC.
BD
CRD#: 6731
NEW YORK, NY
Past
August 23, 2001 - February 16, 2010
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
NEW YORK, NY
Past
November 17, 2000 - May 18, 2001
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
BOLINGBROOK, IL
Past
January 31, 1996 - March 4, 1997
R.W.PRESSPRICH & CO.
BD
CRD#: 26460
NEW YORK, NY
Past
December 2, 1992 - July 25, 1994
NATWEST SECURITIES CORPORATION
BD
CRD#: 18238
NEW YORK, NY
Past
April 8, 1991 - March 31, 1993
COUNTY NATWEST GLOBAL SECURITIES LIMITED
BD
CRD#: 16212
Past
December 19, 1989 - July 23, 1991
WESTMINSTER RESEARCH ASSOCIATES LLC
BD
CRD#: 14508
STAMFORD, CT
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.
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
Alabama(10/16/2020)
RR
Alaska(10/16/2020)
RR
Arizona(10/16/2020)
RR
Arkansas(10/16/2020)
RR
California(10/16/2020)
RR
Colorado(10/16/2020)
RR
Connecticut(10/16/2020)
RR
Delaware(10/16/2020)
RR
District of Columbia(10/16/2020)
RR
Florida(10/16/2020)
RR
Georgia(10/16/2020)
RR
Hawaii(10/16/2020)
RR
Idaho(10/16/2020)
RR
Illinois(10/16/2020)
RR
Indiana(10/16/2020)
RR
Iowa(10/16/2020)
RR
Kansas(10/16/2020)
RR
Kentucky(10/16/2020)
RR
Louisiana(10/16/2020)
RR
Maine(10/16/2020)
RR
Maryland(10/16/2020)
RR
Massachusetts(10/16/2020)
RR
Michigan(10/16/2020)
RR
Minnesota(10/16/2020)
RR
Mississippi(10/16/2020)
RR
Missouri(10/16/2020)
RR
Montana(10/16/2020)
RR
Nebraska(10/16/2020)
RR
Nevada(10/16/2020)
RR
New Hampshire(10/16/2020)
RR
New Jersey(10/16/2020)
RR
New Mexico(10/16/2020)
RR
New York(10/16/2020)
RR
North Carolina(10/16/2020)
RR
North Dakota(10/16/2020)
RR
Ohio(10/18/2020)
RR
Oklahoma(10/16/2020)
RR
Oregon(10/16/2020)
RR
Pennsylvania(10/16/2020)
RR
Puerto Rico(12/13/2022)
RR
Rhode Island(10/16/2020)
RR
South Carolina(10/16/2020)
RR
South Dakota(10/16/2020)
RR
Tennessee(10/16/2020)
RR
Texas(10/16/2020)
RR
Utah(10/16/2020)
RR
Vermont(10/16/2020)
RR
Virginia(10/16/2020)
RR
Washington(10/16/2020)
RR
West Virginia(10/16/2020)
RR
Wisconsin(10/16/2020)
RR
Wyoming(10/16/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
