Craig S. Smolin
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.
Craig Steven Smolin was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1996. Craig had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2011 - November 7, 2016
FIFTH THIRD SECURITIES, INC.
June 30, 2011 - November 7, 2016
FIFTH THIRD SECURITIES, INC.
February 6, 2009 - May 2, 2011
BB&T INVESTMENT SERVICES, INC.
January 28, 2009 - May 2, 2011
BB&T INVESTMENT SERVICES, INC.
August 14, 2006 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
August 8, 2006 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
March 27, 2003 - July 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
January 17, 2003 - July 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
August 29, 2002 - December 20, 2002
QUICK & REILLY, INC.
November 22, 2000 - December 20, 2002
QUICK & REILLY, INC.
March 1, 2000 - December 13, 2000
CENTENNIAL CAPITAL MANAGEMENT, INC.
May 11, 1999 - January 3, 2000
FORBES & YORK SECURITIES LIMITED LIABILITY COMPANY
January 30, 1998 - November 18, 1998
MARION BASS SECURITIES CORPORATION
March 18, 1997 - January 14, 1998
ARGENT SECURITIES, INC.
November 21, 1996 - March 12, 1997
ARGENT SECURITIES, INC.
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.
