AA
Andrew An
FIFTH THIRD SECURITIES
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 2274345
AA
Professional summary
Andrew An, who also goes by Andrew C M An, Andrew Chang An, Andrew Chang Min An, Andrew An, is a registered financial professional currently at FIFTH THIRD SECURITIES, INC. located in Los Angeles, California.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1998. Andrew has worked at 15 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew C M An | Andrew Chang An | Andrew Chang Min An | Andrew An
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 Andrew An'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 9, 2024 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 1901 Avenue Of The Stars Suite 1450, Los Angeles, CA 90067RIA
BD
CRD#: 628
Los Angeles, CA
Past
December 14, 2022 - September 6, 2024
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
Newport Beach, CA
Past
October 19, 2022 - December 31, 2022
COMPASS DISTRIBUTORS, LLC
BD
CRD#: 172662
Newport Beach, CA
Past
January 31, 2020 - September 1, 2022
KOPENTECH CAPITAL MARKETS LLC
BD
CRD#: 299808
Los Angeles, CA
Past
September 1, 2009 - April 20, 2016
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
pasadena, CA
Past
October 9, 2008 - August 31, 2009
MORGAN JOSEPH TRIARTISAN LLC
BD
CRD#: 10948
LOS ANGELES, CA
Past
December 1, 2005 - October 3, 2008
COUNTRYWIDE SECURITIES CORPORATION
BD
CRD#: 10598
CALABASAS, CA
Past
May 5, 2004 - November 30, 2005
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
April 22, 2004 - May 4, 2004
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
BD
CRD#: 5958
CHARLOTTE, NC
Past
February 21, 2002 - May 4, 2004
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
October 15, 2001 - March 1, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 1, 2000 - October 15, 2001
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
August 29, 2000 - November 28, 2000
COMPULIFE INVESTOR SERVICES, INC.
BD
CRD#: 21543
ST. CLOUD, MN
Past
August 7, 2000 - December 4, 2000
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
February 25, 1998 - July 13, 2000
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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(12/10/2024)
RR
Alaska(12/17/2024)
RR
Arizona(12/17/2024)
RR
Arkansas(12/17/2024)
RR
California(12/10/2024)
RR
Colorado(12/10/2024)
RR
Connecticut(12/9/2024)
RR
Delaware(12/16/2024)
RR
District of Columbia(12/12/2024)
RR
Florida(12/10/2024)
RR
Georgia(12/10/2024)
RR
Hawaii(12/11/2024)
RR
Idaho(12/9/2024)
RR
Illinois(12/11/2024)
RR
Indiana(12/10/2024)
RR
Iowa(12/12/2024)
RR
Kansas(12/9/2024)
RR
Kentucky(12/10/2024)
RR
Louisiana(12/11/2024)
RR
Maine(12/10/2024)
RR
Maryland(12/23/2024)
RR
Massachusetts(12/9/2024)
RR
Michigan(12/11/2024)
RR
Minnesota(12/11/2024)
RR
Mississippi(12/13/2024)
RR
Missouri(12/9/2024)
RR
Montana(12/18/2024)
RR
Nebraska(12/9/2024)
RR
Nevada(12/10/2024)
RR
New Hampshire(12/10/2024)
RR
New Jersey(12/10/2024)
RR
New Mexico(12/10/2024)
RR
New York(12/10/2024)
RR
North Carolina(12/13/2024)
RR
North Dakota(12/16/2024)
RR
Ohio(12/10/2024)
RR
Oklahoma(12/10/2024)
RR
Oregon(12/12/2024)
RR
Pennsylvania(12/10/2024)
RR
Puerto Rico(12/13/2024)
RR
Rhode Island(12/10/2024)
RR
South Carolina(12/12/2024)
RR
South Dakota(12/11/2024)
RR
Texas(12/9/2024)
RR
Utah(12/9/2024)
RR
Vermont(12/10/2024)
RR
Virginia(12/10/2024)
RR
Washington(12/11/2024)
RR
West Virginia(12/12/2024)
RR
Wisconsin(12/10/2024)
RR
Wyoming(12/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
PREMIUM
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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.
