RP
Ronald S. Pozen
FIFTH THIRD SECURITIES
Freeport, IL 61032
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CRD#: 2218777
RP
Professional summary
Ronald Scott Pozen, who also goes by R. Scott Pozen, Scott Pozen, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Freeport, Illinois.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Ronald has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
R. Scott Pozen | Scott Pozen
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.
PROFESSIONAL RODEO COWBOYS ASSOCIATION - NOT INVESTMENT RELATED - 101 PRO RODEO DR - COLORAGDO SPRINGS, CO - RODEO - COMPETITOR - WEEKENDS HRS/MO - WILL NOT INTERFERE WITH DUTIES AT FIRM - COMPETE IN ARE STEER WRESTLING AND TEAM ROPING ----------------------------------------------------------------------------- National Little Britches Rodeo Association - 5050 Edison ave #105 Colorado springs, Co 80915 - rodeo judge - 20 hrs/mo (0 during mkt hrs) - not investment related - will not interfere with duties at firm ----------------------------------------------------------------------------- Kaneland HS - 47w326 Keslinger Rd, Maple Park, IL 60151 - athletic coach - 8 hrs/mo (0 mkt hrs) - not investment related - will not interfere with duties at firm
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Scott Pozen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Scott Pozen'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
December 16, 2008 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 328 West Stephenson Street Suite 101, Freeport, IL 61032Office #2: 2707 Sycamore Road, Dekalb, IL 60115Office #3: 3014 E. Lincoln Way, Sterling, IL 61081Office #4: 1534 South West Avenue, Freeport, IL 61032Office #5: 1776 S Randall Rd, Geneva, IL 60134Office #6: 165 W. Wilson Street, Batavia, IL 60510RIA
BD
CRD#: 628
Freeport, IL
Current
December 16, 2008 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 328 West Stephenson Street Suite 101, Freeport, IL 61032Office #2: 2707 Sycamore Road, Dekalb, IL 60115Office #3: 3014 E. Lincoln Way, Sterling, IL 61081Office #4: 1534 South West Avenue, Freeport, IL 61032Office #5: 1776 S Randall Rd, Geneva, IL 60134Office #6: 165 W. Wilson Street, Batavia, IL 60510RIA
BD
CRD#: 628
Freeport, IL
Past
February 12, 2004 - December 23, 2008
AMCORE INVESTMENT SERVICES, INC
BD
CRD#: 27708
WOODSTOCK, IL
Past
July 3, 2003 - October 31, 2003
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
VALENTINE, NE
Past
February 24, 2003 - October 31, 2003
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
March 1, 2002 - February 19, 2003
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
April 13, 1995 - March 28, 2002
AMERICAN INVESTMENT SERVICES, INC.
BD
CRD#: 21111
OKLAHOMA CITY, OK
Past
November 17, 1993 - April 24, 1995
STEIN, SHORE SECURITIES, INC.
BD
CRD#: 31294
ORLANDO, FL
Past
April 29, 1992 - November 29, 1993
EMANUEL AND COMPANY
BD
CRD#: 7309
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
Alaska(8/16/2021)
RR
Arizona(2/5/2009)
RR
Arkansas(12/16/2008)
RR
California(2/5/2009)
RR
Colorado(9/16/2013)
RR
Florida(12/16/2008)
RR
Georgia(9/18/2009)
RR
Illinois(12/16/2008)
IAR
Illinois(12/16/2008)
RR
Indiana(2/5/2009)
RR
Iowa(11/15/2012)
RR
Kansas(11/30/2023)
RR
Kentucky(12/14/2012)
RR
Louisiana(12/6/2021)
RR
Maryland(3/12/2013)
RR
Minnesota(4/17/2023)
RR
Missouri(2/11/2010)
RR
Nebraska(7/31/2018)
RR
New York(5/28/2015)
RR
North Carolina(11/20/2020)
RR
Ohio(5/14/2025)
RR
Oklahoma(9/26/2022)
RR
Pennsylvania(11/15/2012)
RR
South Carolina(3/1/2021)
RR
Tennessee(2/16/2021)
RR
Texas(8/3/2012)
IAR
Texas(8/25/2014)
RR
Virginia(6/18/2009)
RR
Washington(2/12/2021)
RR
Wisconsin(12/16/2008)
RR
Wyoming(8/18/2014)
Exams
State Security Law Exam
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)
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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.
