Brett Perlmutter

FIFTH THIRD SECURITIES

NEW YORK, NY 10020

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CRD#: 2522159

Professional summary

Brett Perlmutter, who also goes by Brett Alan Perlmutter, is a registered financial professional currently at FIFTH THIRD SECURITIES, INC. located in New York, New York.

Brett is registered as a RR (Registered Representative) and started their career in finance in 1994. Brett has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brett Alan Perlmutter

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) - BD

Click below to view Brett Perlmutter'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

February 12, 2021 - Present

FIFTH THIRD SECURITIES, INC.

Office #1: 50 Rockefeller Plaza 11th Floor, Suite 1101, New York, NY 10020

RIA

CRD#: 628

NEW YORK, NY

Past

May 30, 2017 - December 21, 2020

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

NEW YORK, NY

Past

July 30, 2015 - May 22, 2017

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

August 31, 2009 - March 3, 2015

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

July 2, 2008 - May 18, 2009

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

GREENWICH, CT

Past

May 9, 2001 - June 17, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

August 30, 1994 - April 17, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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)

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.

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

Alabama
(2/12/2021)

Alaska
(2/12/2021)

Arizona
(2/12/2021)

Arkansas
(2/12/2021)

California
(2/12/2021)

Colorado
(2/12/2021)

Connecticut
(2/12/2021)

Delaware
(2/12/2021)

District of Columbia
(2/12/2021)

Florida
(2/12/2021)

Georgia
(2/12/2021)

Hawaii
(2/12/2021)

Idaho
(2/12/2021)

Illinois
(2/12/2021)

Indiana
(2/12/2021)

Iowa
(2/12/2021)

Kansas
(2/12/2021)

Kentucky
(2/12/2021)

Louisiana
(2/12/2021)

Maine
(2/12/2021)

Maryland
(2/12/2021)

Massachusetts
(2/12/2021)

Michigan
(2/12/2021)

Minnesota
(2/12/2021)

Mississippi
(2/12/2021)

Missouri
(2/12/2021)

Montana
(2/12/2021)

Nebraska
(2/12/2021)

Nevada
(2/12/2021)

New Hampshire
(2/12/2021)

New Jersey
(2/12/2021)

New Mexico
(2/12/2021)

New York
(2/12/2021)

North Carolina
(2/12/2021)

North Dakota
(2/12/2021)

Ohio
(2/12/2021)

Oklahoma
(2/12/2021)

Oregon
(2/12/2021)

Pennsylvania
(2/12/2021)

Rhode Island
(2/12/2021)

South Carolina
(2/12/2021)

South Dakota
(2/12/2021)

Tennessee
(2/12/2021)

Texas
(2/12/2021)

Utah
(2/12/2021)

Vermont
(2/12/2021)

Virginia
(2/12/2021)

Washington
(2/12/2021)

West Virginia
(2/12/2021)

Wisconsin
(2/12/2021)

Wyoming
(2/12/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/30/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1994

General Securities Representative Examination

SRO Registrations

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PASSAGEWAY MANAGED ACCOUNT PROGRAM BROCHURE (7/14/2025)

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	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.

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Brett Perlmutter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett Perlmutter's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUSQUEHANNA FINANCIAL GROUP, LLLP

DEUTSCHE BANK SECURITIES INC.

NOMURA SECURITIES INTERNATIONAL, INC.

NATWEST MARKETS SECURITIES INC.

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FIFTH THIRD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/1994

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1994

FINRA

Current Firm

FIFTH THIRD SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIFTH THIRD SECURITIES, INC.

TRUST BUT VERIFY

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