JM
James K. Morgan
FIFTH THIRD SECURITIES
Alexandria, KY 41001
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CRD#: 2458500
JM
Professional summary
James Kenneth Morgan JR is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Alexandria, Kentucky.
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 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
RENTAL PROPERTY
3483 LAKE SHORE DR
BONITA SPRINGS, FL 34134
1 UNIT CONDO
50% OWNER WITH SPOUSE
$900/MONTH
6-10 HRS/MO
PAYING BILLS, COMMUNICATING WITH RENTERS, CONTRACTING WITH SERVICE COMPANIES TO COMPLETE REPAIRS
------------------------------
KEN MORGAN PROPERTIES LLC - NOT INVESTMENT-RELATED - 3 TRAILRIDGE LN, WILDER, KY 41078 - REAL ESTATE - OWNER OF A PROPERTY ON MADISON AVE IN COVINGTON, KY - > 1 HRS/MONTH - WILL NOT INTERFERE WITH DUTIES AT FIRM - NO ACTIVE DUTIES
CRS (Client Relationship Summary) - RIA
Click below to view James Kenneth Morgan JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Kenneth Morgan JR'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
November 15, 2007 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 6801 Alexandria Pike, Alexandria, KY 41001Office #2: 131 N. Ft. Thomas Avenue, Fort Thomas, KY 41075RIA
BD
CRD#: 628
Alexandria, KY
Current
March 27, 1999 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 6801 Alexandria Pike, Alexandria, KY 41001Office #2: 131 N. Ft. Thomas Avenue, Fort Thomas, KY 41075RIA
BD
CRD#: 628
Alexandria, KY
Past
October 14, 1998 - March 27, 1999
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 3155
CINCINNATI, OH
Past
March 16, 1994 - September 9, 1998
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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(9/17/2015)
RR
California(5/23/2011)
RR
Colorado(6/29/2011)
RR
Florida(3/2/2004)
RR
Georgia(6/20/2011)
RR
Illinois(5/23/2011)
RR
Indiana(1/31/2000)
RR
Kentucky(3/27/1999)
IAR
Kentucky(11/15/2007)
RR
Michigan(5/23/2011)
RR
North Carolina(1/27/2010)
RR
Ohio(3/27/1999)
RR
South Carolina(9/11/2007)
RR
Tennessee(6/12/2017)
RR
Texas(11/19/2010)
RR
Utah(12/4/2012)
RR
Virginia(3/22/2011)
RR
Wisconsin(10/5/2022)
Exams
State Security Law Exam
State Security Law Exam
General 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.
Company Information
FIFTH THIRD SECURITIES, INC.
CRD#: 628Alexandria, KY 41001TRUST BUT VERIFY
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