JF
James K. Ferry
FIFTH THIRD SECURITIES
West Palm Beach, FL 33401
Some features on this profile are disabled
CRD#: 2358310
JF
Professional summary
James Kenneth Ferry, who also goes by James K Ferry, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in West Palm Beach, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 16 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James K Ferry
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) - RIA
Click below to view James Kenneth Ferry's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Kenneth Ferry'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 17, 2026 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 515 N. Flagler Drive Suite 100, West Palm Beach, FL 33401RIA
BD
CRD#: 628
West Palm Beach, FL
Current
March 16, 2026 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 515 N. Flagler Drive Suite 100, West Palm Beach, FL 33401RIA
BD
CRD#: 628
West Palm Beach, FL
Past
August 1, 2022 - March 18, 2026
ATLAS FINANCIAL ADVISORS, LLC
RIA
CRD#: 285580
BOCA RATON, FL
Past
July 29, 2022 - March 25, 2024
ZEUS FINANCIAL, LLC
BD
CRD#: 18192
BOCA RATON, FL
Past
May 10, 2021 - July 28, 2022
HARVEST PORTFOLIO MANAGEMENT, LLC
RIA
CRD#: 299005
Lake Worth, FL
Past
January 21, 2020 - November 3, 2020
ONE OAK CAPITAL MANAGEMENT, LLC
RIA
CRD#: 170339
BOCA RATON, FL
Past
December 13, 2019 - August 27, 2020
FOX CHASE CAPITAL PARTNERS, LLC
BD
CRD#: 104087
SPRINGFIELD, NJ
Past
July 31, 2017 - September 16, 2019
MORGAN STANLEY
RIA
CRD#: 149777
BOCA RATON, FL
Past
May 8, 2017 - September 16, 2019
MORGAN STANLEY
BD
CRD#: 149777
BOCA RATON, FL
Past
May 26, 2015 - May 2, 2017
J.W. KORTH & COMPANY
BD
CRD#: 26455
Delray Beach, FL
Past
January 31, 2014 - June 2, 2015
COHEN & COMPANY SECURITIES, LLC
BD
CRD#: 149758
BOCA RATON, FL
Past
May 1, 2001 - January 31, 2014
JVB FINANCIAL GROUP, LLC
BD
CRD#: 104412
BOCA RATON, FL
Past
November 27, 2000 - July 2, 2001
INTL CUSTODY & CLEARING SOLUTIONS INC.
BD
CRD#: 23952
BIRMINGHAM, AL
Past
July 6, 2000 - April 23, 2001
IBIS SECURITIES, LLC
BD
CRD#: 38538
WALNUT CREEK, CA
Past
August 4, 1998 - July 5, 2000
JOSEPH CHARLES & ASSOC., INC.
BD
CRD#: 3949
BOCA RATON, FL
Past
April 6, 1998 - August 27, 1998
R. SEELAUS & CO., LLC
BD
CRD#: 14974
CHATHAM, NJ
Past
May 7, 1996 - June 9, 1997
JOSEPH CHARLES & ASSOC., INC.
BD
CRD#: 3949
BOCA RATON, FL
Past
October 24, 1994 - April 24, 1996
HALPERT AND COMPANY, INC.
BD
CRD#: 7094
MILLBURN, NJ
Past
September 7, 1994 - October 7, 1994
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
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
Alabama(3/16/2026)
RR
Alaska(3/27/2026)
RR
Arizona(3/24/2026)
RR
Arkansas(3/17/2026)
RR
California(3/17/2026)
RR
Colorado(3/17/2026)
RR
Connecticut(3/17/2026)
RR
Delaware(3/17/2026)
RR
District of Columbia(3/16/2026)
RR
Florida(3/16/2026)
IAR
Florida(3/17/2026)
RR
Georgia(3/17/2026)
RR
Hawaii(3/31/2026)
RR
Idaho(3/17/2026)
RR
Illinois(3/16/2026)
RR
Indiana(3/17/2026)
RR
Iowa(3/17/2026)
RR
Kansas(3/16/2026)
RR
Kentucky(3/16/2026)
RR
Louisiana(3/17/2026)
RR
Maine(3/25/2026)
RR
Maryland(3/23/2026)
RR
Massachusetts(3/17/2026)
RR
Michigan(3/16/2026)
RR
Minnesota(3/16/2026)
RR
Mississippi(3/16/2026)
RR
Missouri(3/17/2026)
RR
Montana(3/16/2026)
RR
Nebraska(3/16/2026)
RR
Nevada(3/17/2026)
RR
New Hampshire(3/17/2026)
RR
New Jersey(3/16/2026)
RR
New Mexico(3/17/2026)
RR
New York(4/1/2026)
RR
North Carolina(3/17/2026)
RR
North Dakota(3/26/2026)
RR
Ohio(3/16/2026)
RR
Oklahoma(3/16/2026)
RR
Oregon(3/30/2026)
RR
Pennsylvania(3/17/2026)
RR
Rhode Island(3/17/2026)
RR
South Carolina(3/16/2026)
RR
South Dakota(3/16/2026)
RR
Tennessee(3/17/2026)
RR
Texas(3/16/2026)
RR
Utah(3/17/2026)
RR
Vermont(3/17/2026)
RR
Virginia(3/17/2026)
RR
Washington(3/16/2026)
RR
West Virginia(3/18/2026)
RR
Wisconsin(3/16/2026)
RR
Wyoming(3/19/2026)
Exams
State Security Law Exam
State Security Law 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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
