JR
Jimmy L. Rider
FIFTH THIRD SECURITIES
CINCINNATI, OH 45202
Some features on this profile are disabled
CRD#: 2369330
JR
Professional summary
Jimmy Lee Rider, who also goes by Jim Lee Rider, is a registered financial professional currently at FIFTH THIRD SECURITIES, INC. located in Cincinnati, Ohio.
Jimmy is registered as a RR (Registered Representative) and started their career in finance in 1993. Jimmy has worked at 10 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Lee Rider
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 Jimmy Lee Rider'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
June 20, 2012 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 38 Fountain Square Plaza, Cincinnati, OH 45202RIA
BD
CRD#: 628
CINCINNATI, OH
Past
July 28, 2010 - July 14, 2011
KOVACK SECURITIES INC.
BD
CRD#: 44848
FT. LAUDERDALE, FL
Past
May 26, 2010 - August 4, 2010
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
PORT CHARLOTTE, FL
Past
March 11, 2005 - May 13, 2010
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
April 18, 2002 - February 22, 2005
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
May 25, 2001 - April 16, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 5, 2000 - June 4, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 24, 1996 - June 29, 2000
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
January 12, 1996 - June 20, 1996
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
CINCINNATI, OH
Past
September 20, 1995 - January 15, 1996
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
September 28, 1994 - June 13, 1995
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
March 9, 1994 - August 26, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
September 10, 1993 - December 15, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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(4/23/2019)
RR
Alaska(4/23/2019)
RR
Arizona(4/23/2019)
RR
Arkansas(4/23/2019)
RR
California(4/23/2019)
RR
Colorado(4/23/2019)
RR
Connecticut(4/23/2019)
RR
Delaware(4/23/2019)
RR
District of Columbia(4/23/2019)
RR
Florida(4/23/2019)
RR
Georgia(4/23/2019)
RR
Hawaii(4/23/2019)
RR
Idaho(4/23/2019)
RR
Illinois(4/23/2019)
RR
Indiana(4/23/2019)
RR
Iowa(4/23/2019)
RR
Kansas(4/23/2019)
RR
Kentucky(6/20/2012)
RR
Louisiana(4/23/2019)
RR
Maine(4/23/2019)
RR
Maryland(4/23/2019)
RR
Massachusetts(10/17/2017)
RR
Michigan(4/23/2019)
RR
Minnesota(4/23/2019)
RR
Mississippi(4/23/2019)
RR
Missouri(4/23/2019)
RR
Montana(4/23/2019)
RR
Nebraska(4/23/2019)
RR
Nevada(4/23/2019)
RR
New Hampshire(4/23/2019)
RR
New Jersey(4/23/2019)
RR
New Mexico(4/23/2019)
RR
New York(4/23/2019)
RR
North Carolina(4/23/2019)
RR
North Dakota(4/23/2019)
RR
Ohio(6/21/2012)
RR
Oklahoma(4/23/2019)
RR
Oregon(4/23/2019)
RR
Pennsylvania(4/23/2019)
RR
Puerto Rico(4/23/2019)
RR
Rhode Island(4/23/2019)
RR
South Carolina(4/23/2019)
RR
South Dakota(4/23/2019)
RR
Tennessee(4/23/2019)
RR
Texas(4/23/2019)
RR
Utah(4/23/2019)
RR
Vermont(4/23/2019)
RR
Virginia(4/23/2019)
RR
Washington(4/23/2019)
RR
West Virginia(4/23/2019)
RR
Wisconsin(4/23/2019)
RR
Wyoming(4/23/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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.
Company Information
FIFTH THIRD SECURITIES, INC.
CRD#: 628Cincinnati, OH 45202TRUST BUT VERIFY
Monitor Jimmy Rider
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
