BK
Benjamin H. Knox
FIFTH THIRD SECURITIES
Seffner, FL 33584
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CRD#: 2083373
BK
Professional summary
Benjamin Hollis Knox, CFP®, who also goes by Ben Knox, Benjamin H Knox, Benji Knox, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Seffner, Florida.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Benjamin has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Knox | Benjamin H Knox | Benji Knox
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) - RIA
Click below to view Benjamin Hollis Knox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Hollis Knox'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®
CFP®
Start date: 1994
Experience
Current
January 28, 2013 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 11710 Martin Luther King Blvd, Seffner, FL 33584Office #2: 1909 Highway 60 East, Valrico, FL 33594Office #3: 4421 S. Florida Ave, Lakeland, FL 33813Office #4: 4012 Lakeland Hills Blvd, Lakeland, FL 33805Office #5: 435 S Combee Road, Lakeland, FL 33801Office #6: 3402 Lithia-pinecrest Rd., Valrico, FL 33594Office #7: 13304 Us Hwy 301 South, Riverview, FL 33569Office #8: 1020 N. Us Hwy. 41, Ruskin, FL 33570Office #9: 10260 Bloomingdale Ave, Riverview, FL 33578RIA
BD
CRD#: 628
Seffner, FL
Current
January 24, 2013 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 11710 Martin Luther King Blvd, Seffner, FL 33584Office #2: 1909 Highway 60 East, Valrico, FL 33594Office #3: 4421 S. Florida Ave, Lakeland, FL 33813Office #4: 4012 Lakeland Hills Blvd, Lakeland, FL 33805Office #5: 435 S Combee Road, Lakeland, FL 33801Office #6: 3402 Lithia-pinecrest Rd., Valrico, FL 33594Office #7: 13304 Us Hwy 301 South, Riverview, FL 33569Office #8: 1020 N. Us Hwy. 41, Ruskin, FL 33570Office #9: 10260 Bloomingdale Ave, Riverview, FL 33578RIA
BD
CRD#: 628
Seffner, FL
Past
June 1, 2009 - February 12, 2013
MORGAN STANLEY
RIA
CRD#: 149777
LAKELAND, FL
Past
June 1, 2009 - February 12, 2013
MORGAN STANLEY
BD
CRD#: 149777
LAKELAND, FL
Past
April 9, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ST. PETERSBURG, FL
Past
April 3, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ST. PETERSBURG, FL
Past
March 28, 2003 - April 14, 2009
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
TAMPA, FL
Past
March 14, 2003 - April 14, 2009
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
TAMPA, FL
Past
April 22, 1994 - December 19, 1994
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
Past
March 9, 1993 - April 19, 1994
DETWILER FENTON WEALTH MANAGEMENT INC
BD
CRD#: 16063
Past
May 21, 1991 - August 7, 1992
PREMIERETRADE SECURITIES, INC.
BD
CRD#: 16776
Past
September 10, 1990 - January 22, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
Past
September 10, 1990 - January 22, 1991
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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
Colorado(10/24/2022)
RR
Florida(1/28/2013)
IAR
Florida(1/28/2013)
RR
Georgia(1/24/2013)
RR
Illinois(11/8/2013)
RR
Indiana(11/23/2020)
RR
Iowa(10/25/2022)
RR
Kentucky(12/21/2020)
RR
Maryland(9/4/2024)
RR
Michigan(8/19/2013)
RR
Nebraska(11/19/2020)
RR
Nevada(5/9/2022)
RR
New Jersey(6/20/2023)
RR
New York(8/14/2013)
RR
Ohio(1/25/2013)
RR
Pennsylvania(2/12/2020)
RR
South Carolina(11/2/2020)
RR
Tennessee(1/28/2013)
RR
Texas(11/19/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
