Michael D. Fahl
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Dennis Fahl was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2009 - December 12, 2016
FIFTH THIRD SECURITIES, INC.
September 12, 2008 - August 3, 2009
FIFTH THIRD SECURITIES, INC.
September 17, 2007 - September 19, 2008
PRINCIPAL SECURITIES, INC.
November 12, 2004 - September 4, 2007
ALLSTATE FINANCIAL SERVICES, LLC
May 27, 2004 - November 15, 2004
EDI INVESTMENT ADVISOR CORPORATION
January 23, 2004 - November 15, 2004
EDI FINANCIAL, INC.
June 28, 2002 - December 31, 2004
INVESTMENT ADVISORY OF LEE COUNTY, LLC
January 10, 2002 - May 13, 2003
KESCO SECURITIES CORP.
February 11, 2000 - February 5, 2002
PRIME CAPITAL SERVICES, INC.
July 29, 1997 - February 14, 2000
NATHAN & LEWIS SECURITIES, INC.
July 25, 1995 - August 4, 1997
NEW ENGLAND SECURITIES
November 12, 1993 - July 7, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 12, 1993 - July 7, 1995
EQUITABLE ADVISORS, LLC
January 26, 1993 - November 12, 1993
METROPOLITAN LIFE INSURANCE COMPANY
January 26, 1993 - November 12, 1993
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
Contact information
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.
