RK
Richard Kuzniar
FIFTH THIRD SECURITIES
West Chicago, IL 60185
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CRD#: 2123959
RK
Professional summary
Richard Kuzniar, CFP® is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in West Chicago, Illinois.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Richard Kuzniar's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Kuzniar'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
October 17, 2017 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 1800 North Neltnor Blvd, West Chicago, IL 60185Office #2: 100 W Higgins Rd, South Barrington, IL 60010Office #3: 388 S Main St, Bartlett, IL 60103Office #4: 330 W. Army Trail Rd., Bloomingdale, IL 60108RIA
BD
CRD#: 628
West Chicago, IL
Current
October 16, 2017 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 1800 North Neltnor Blvd, West Chicago, IL 60185Office #2: 100 W Higgins Rd, South Barrington, IL 60010Office #3: 388 S Main St, Bartlett, IL 60103Office #4: 330 W. Army Trail Rd., Bloomingdale, IL 60108RIA
BD
CRD#: 628
West Chicago, IL
Past
December 18, 2006 - August 29, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
RIA
CRD#: 137115
BLOOMINGDALE, IL
Past
December 18, 2006 - August 29, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
BLOOMINGDALE, IL
Past
November 13, 2001 - November 15, 2006
LASALLE FINANCIAL SERVICES, INC.
RIA
CRD#: 20373
CAROL STREAM, IL
Past
September 22, 1999 - November 15, 2006
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CAROL STREAM, IL
Past
April 25, 1996 - September 27, 1999
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
December 9, 1994 - May 8, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
December 9, 1994 - May 8, 1996
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
May 2, 1991 - December 14, 1994
DREHER & ASSOCIATES, INC.
BD
CRD#: 8665
OAKBROOK TERRACE, IL
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
Arizona(6/18/2018)
RR
Colorado(11/20/2020)
RR
Florida(2/14/2020)
RR
Illinois(10/17/2017)
IAR
Illinois(10/17/2017)
RR
Nebraska(4/25/2022)
RR
North Carolina(9/19/2024)
RR
Ohio(12/13/2019)
RR
South Carolina(12/17/2019)
RR
Tennessee(12/13/2019)
RR
Texas(11/20/2020)
RR
Washington(2/13/2020)
Exams
State Security Law Exam
State Security Law 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.
