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GM

Gerald T. Mattingly

FIFTH THIRD SECURITIES
The Woodlands, TX
Some features on this profile are disabled
CRD#: 2510024
GM

Professional summary

Gerald Trent Mattingly is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in The Woodlands, Texas.

Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Gerald has worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, Series 52TO, SIE, Series 7, Series 6, Series 26, Series 24, Series 10 and Series 9 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gerald Trent Mattingly's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Gerald Trent Mattingly's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 13, 2026 - Present

FIFTH THIRD SECURITIES, INC.

RIA
BD
CRD#: 628
The Woodlands, TX
Current

May 13, 2026 - Present

FIFTH THIRD SECURITIES, INC.

RIA
BD
CRD#: 628
The Woodlands, TX
Past

May 25, 2023 - May 6, 2026

FROST INVESTMENT SERVICES

RIA
CRD#: 286129
THE WOODLANDS, TX
Past

May 25, 2023 - May 6, 2026

FROST BROKERAGE SERVICES, INC.

BD
CRD#: 17465
THE WOODLANDS, TX
Past

August 23, 2021 - June 2, 2023

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
THE WOODLANDS, TX
Past

August 23, 2021 - June 2, 2023

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
THE WOODLANDS, TX
Past

May 16, 2013 - August 23, 2021

BBVA SECURITIES INC.

BD
CRD#: 27060
SPRING, TX
Past

January 21, 2011 - August 23, 2021

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
The Woodlands, TX
Past

December 3, 2010 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
HOUSTON, TX
Past

July 26, 2006 - August 23, 2007

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
HOUSTON, TX
Past

July 26, 2006 - August 23, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
HOUSTON, TX
Past

September 27, 2004 - June 16, 2006

BBVA COMPASS INVESTMENT SOLUTIONS, INC

RIA
CRD#: 17086
HOUSTON, TX
Past

September 7, 2004 - June 16, 2006

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
HOUSTON, TX
Past

January 1, 2004 - August 27, 2004

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
LOUISVILLE, KY
Past

January 1, 2004 - August 27, 2004

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PITTSBURGH, PA
Past

August 4, 2003 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA
CRD#: 453
LAGRANGE, KY
Past

June 1, 2002 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY
Past

December 10, 2001 - June 1, 2002

PNC BROKERAGE CORP

BD
CRD#: 34671
PITTSBURGH, PA
Past

February 14, 2000 - December 20, 2001

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

October 26, 1999 - February 14, 2000

WACHOVIA BROKERAGE SERVICE

BD
CRD#: 17503
WINSTON SALEM, NC
Past

October 12, 1998 - October 6, 1999

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

July 14, 1994 - October 1, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

July 14, 1994 - October 1, 1998

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
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, 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
Texas
(5/13/2026)
IAR
Texas
(5/13/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/8/2010
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/25/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/13/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/25/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/1/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/13/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/25/2023
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/10/2011
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/31/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/13/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

FIFTH THIRD SECURITIES, INC.
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)
Loading...

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)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PASSAGEWAY MANAGED ACCOUNT PROGRAM BROCHURE (2/2/2026)

Direct owners and executive officers

NamePositionCRD#
FIFTH THIRD BANK, NATIONAL ASSOCIATIONOWNER
CORSARIE, ROBERT ALBERTDIRECTOR, HEAD OF RETAIL BROKERAGE2213136
JACOBS, JARRETT ANDREWDIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER3190249
JOHNSON MOBLEY, SHANNONDIRECTOR, REGIONAL INVESTMENT MANAGER2583704
KELLY, GINGER MICHELLEDIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL2357692
LUDWICK, JAMES PAULDIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS4286771
LYONS, TIMOTHYDIRECTOR, MANAGING DIRECTOR-TRADING2544688
MARCUS, ROBERT FRANKLINDIRECTOR, HEAD OF CAPITAL MARKETS2512810
OVERMANN, JUSTIN MICHAELDIRECTOR, PRINCIPAL OPERATIONS OFFICER4419793
STRATMOEN, CHRISTOPHER SCOTTDIRECTOR, PRINCIPAL FINANCIAL OFFICER5873893

Regulatory assets under management

Total Number of Accounts43,067
AUM (Assets Under Management)$ 9,127,646,064

Disclosures

Regulatory Event38
Arbitration19

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/20/2025
Cover Page
Report
08/26/2024
Cover Page
Report
10/20/2023
Cover Page
Report

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.

FIFTH THIRD SECURITIES, INC.

CRD#: 628The Woodlands, TX

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