BK
Brook P. Kramer
FIFTH THIRD SECURITIES
LAKEWOOD, CO
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CRD#: 2293421
BK
Professional summary
Brook P Kramer, who also goes by Brook L Kramer, Brook L Palmer, Brook Lanette Palmer, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Lakewood, Colorado.
Brook is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Brook has worked at 6 firms and has passed the Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brook L Kramer | Brook L Palmer | Brook Lanette Palmer
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.
6/1/15 - THE WOMEN'S FOUNDATION OF COLORADO - NON PROFIT - NOT INVESTMENT RELATED - TRUSTEE OF BOARD - PROVIDE STRATEGIC DIRECTION, FUNDRAISE, & STEWARD THE MISSION & FINANCIAL RESOURCES OF THE ORGANIZATION
CRS (Client Relationship Summary) - RIA
Click below to view Brook P Kramer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brook P Kramer'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
August 8, 2025 - Present
FIFTH THIRD SECURITIES, INC.
RIA
BD
CRD#: 628
LAKEWOOD, CO
Current
August 14, 2025 - Present
FIFTH THIRD SECURITIES, INC.
RIA
BD
CRD#: 628
Alpharetta, GA
Past
August 2, 2022 - August 24, 2023
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
Lake Oswego, OR
Past
April 13, 2022 - August 31, 2023
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
Lake Oswego, OR
Past
November 24, 2008 - March 31, 2015
SYNTRINSIC INVESTMENT COUNSEL, LLC.
RIA
CRD#: 147978
DENVER, CO
Past
October 30, 2006 - August 29, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DENVER, CO
Past
October 30, 2006 - August 29, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DENVER, CO
Past
January 14, 2005 - July 14, 2006
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
DENVER, CO
Past
December 9, 2002 - January 14, 2005
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DENVER, CO
Past
June 23, 1994 - January 14, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 20, 1994 - June 15, 1994
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
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
IAR
Colorado(8/8/2025)
RR
Colorado(8/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/13/2022
General Securities Representative ExaminationGeneral 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.
