David M. Miles
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.
David M Miles, CFP®, ChFC®, CLU®, who also goes by Dave Miles, David Mark Miles, Dave Miles, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2001
Experience
November 26, 2018 - June 18, 2026
FIFTH THIRD SECURITIES, INC.
November 20, 2018 - June 18, 2026
FIFTH THIRD SECURITIES, INC.
August 3, 2015 - October 15, 2018
CETERA INVESTMENT ADVISERS LLC
July 29, 2015 - October 15, 2018
CETERA INVESTMENT SERVICES LLC
October 16, 2013 - July 13, 2015
FIFTH THIRD SECURITIES, INC.
October 11, 2013 - July 13, 2015
FIFTH THIRD SECURITIES, INC.
February 7, 2012 - September 30, 2013
THE LEADERS GROUP, INC.
February 1, 2012 - September 30, 2013
TLG ADVISORS, INC.
May 22, 2007 - February 9, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 7, 2000 - February 9, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 1, 1995 - May 13, 1996
NATIONWIDE SECURITIES, LLC
November 3, 1994 - December 31, 1995
INVESTORS CAPITAL CORP.
January 22, 1994 - July 12, 1994
NEW ENGLAND SECURITIES
July 15, 1993 - October 5, 1993
MONY SECURITIES CORPORATION
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.
