DO
Daniel P. O'sullivan
FIFTH THIRD SECURITIES
Indianapolis, IN 46268
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CRD#: 2616436
DO
Professional summary
Daniel P O'sullivan, who also goes by Daniel Pe O'sullivan, Daniel Peter O'sullivan, Daniel Pe Osullivan, Daniel Peter Osullivan, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Indianapolis, Indiana.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Daniel has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Pe O'sullivan | Daniel Peter O'sullivan | Daniel Pe Osullivan | Daniel Peter Osullivan
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.
PARSONS DEVELOPMENT GROUP LLC - NOT INVESTMENT RELATED - 33-25 PARSONS BLVD, FLUSHING, NY 11354 - RENTAL PROPERTY - INVESTOR - 0 HR/MONTH - WILL NOT INTERFERE WITH DUTIES AT FIRM - PASSIVE INVESTOR
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Fulcrum Real Estate LLC - NOT INVESTMENT RELATED - 7-05 152 St., Whitestone, NY - RENTAL PROPERTY - INVESTOR - 0 HR/MONTH - WILL NOT INTERFERE WITH DUTIES AT FIRM - PASSIVE INVESTOR
CRS (Client Relationship Summary) - RIA
Click below to view Daniel P O'sullivan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel P O'sullivan'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
March 14, 2012 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 8301 N. Michigan Road, Indianapolis, IN 46268Office #2: 5692 Georgetown Road, Indianapolis, IN 46254RIA
BD
CRD#: 628
Indianapolis, IN
Current
March 7, 2012 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 8301 N. Michigan Road, Indianapolis, IN 46268Office #2: 5692 Georgetown Road, Indianapolis, IN 46254RIA
BD
CRD#: 628
Indianapolis, IN
Past
October 23, 2009 - February 28, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
October 23, 2009 - February 28, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 22, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
MELVILLE, NY
Past
April 22, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
MELVILLE, NY
Past
May 29, 2007 - May 1, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
May 29, 2007 - May 1, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
December 7, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
NEW YORK, NY
Past
December 3, 1996 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
NEW YORK, NY
Past
June 13, 1996 - August 23, 1996
NEBRASKA HUDSON COMPANY, INC.
BD
CRD#: 27501
OMAHA, NE
Past
May 25, 1995 - March 26, 1996
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
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)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
Connecticut(3/18/2020)
RR
District of Columbia(3/18/2020)
RR
Indiana(7/10/2015)
IAR
Indiana(7/13/2015)
RR
Massachusetts(10/4/2017)
RR
Michigan(7/6/2017)
RR
New York(3/7/2012)
RR
Ohio(3/13/2012)
RR
Pennsylvania(3/18/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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.
