PG
Paul J. Gallagher
FIFTH THIRD SECURITIES
NEW YORK, NY 10020
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CRD#: 2286970
PG
Professional summary
Paul Jude Gallagher is a registered financial professional currently at FIFTH THIRD SECURITIES, INC. located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1993. Paul has worked at 12 firms and has passed the Series 63, SIE, Series 16 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Paul Jude Gallagher'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
March 10, 2022 - 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
April 9, 2015 - September 23, 2021
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
Garden City, NY
Past
December 5, 2011 - April 16, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
April 29, 2009 - December 5, 2011
MF GLOBAL INC.
BD
CRD#: 6731
NEW YORK, NY
Past
April 26, 2006 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
June 10, 2005 - April 17, 2009
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
July 9, 2004 - June 20, 2005
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
February 25, 2004 - June 9, 2004
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
December 17, 2003 - February 12, 2004
BONDS DIRECT SECURITIES LLC
BD
CRD#: 112297
NEW YORK, NY
Past
August 30, 2001 - December 19, 2003
BNY MELLON SECURITIES LLC
BD
CRD#: 47268
JERSEY CITY, NJ
Past
October 29, 1996 - August 21, 2001
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
February 5, 1993 - October 30, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(3/10/2022)
RR
Alaska(3/10/2022)
RR
Arizona(3/10/2022)
RR
Arkansas(3/10/2022)
RR
California(3/10/2022)
RR
Colorado(3/10/2022)
RR
Connecticut(3/10/2022)
RR
Delaware(3/10/2022)
RR
District of Columbia(3/10/2022)
RR
Florida(3/10/2022)
RR
Georgia(3/10/2022)
RR
Hawaii(3/10/2022)
RR
Idaho(3/10/2022)
RR
Illinois(3/10/2022)
RR
Indiana(3/10/2022)
RR
Iowa(3/10/2022)
RR
Kansas(3/10/2022)
RR
Kentucky(3/10/2022)
RR
Louisiana(3/10/2022)
RR
Maine(3/10/2022)
RR
Maryland(3/10/2022)
RR
Massachusetts(3/10/2022)
RR
Michigan(3/10/2022)
RR
Minnesota(3/10/2022)
RR
Mississippi(3/10/2022)
RR
Missouri(3/10/2022)
RR
Montana(3/10/2022)
RR
Nebraska(3/10/2022)
RR
Nevada(3/10/2022)
RR
New Hampshire(3/10/2022)
RR
New Jersey(3/10/2022)
RR
New Mexico(3/10/2022)
RR
New York(3/10/2022)
RR
North Carolina(3/10/2022)
RR
North Dakota(3/10/2022)
RR
Ohio(3/10/2022)
RR
Oklahoma(3/10/2022)
RR
Oregon(3/10/2022)
RR
Pennsylvania(3/10/2022)
RR
Rhode Island(3/10/2022)
RR
South Carolina(3/10/2022)
RR
South Dakota(3/10/2022)
RR
Tennessee(3/10/2022)
RR
Texas(3/10/2022)
RR
Utah(3/10/2022)
RR
Vermont(3/10/2022)
RR
Virginia(3/10/2022)
RR
Washington(3/10/2022)
RR
West Virginia(3/10/2022)
RR
Wisconsin(3/10/2022)
RR
Wyoming(3/10/2022)
Exams
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.
