RR
Raymond Regala
FIFTH THIRD SECURITIES
SAN JOSE, CA 95113
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CRD#: 2868237
RR
Raymond RegalaFIFTH THIRD SECURITIES
Professional summary
Raymond Regala, who also goes by John Regala, Raymond Co Regala, Raymond John Regala, Raymond Regala, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in San Jose, California.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Raymond has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
John Regala | Raymond Co Regala | Raymond John Regala | Raymond Regala
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.
Outside Employment; Comerica; Financial Advisor; Money market fund solutions; 333 W. Santa Clara St. 12th floor, , San Jose, CA, 95113; Investment-Related; 11/06/2023; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Fo2/Maestro; FO2/Maestro is a cash management platform for corporate and institutional clients; 333 W. Santa Clara St., , San Jose, CA, 95113; Investment-Related; 11/06/2023; 10 to 19 hours per month; 1 to 9 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Regala's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raymond Regala'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
July 8, 2026 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 333 W. Santa Clara 12th Floor, San Jose, CA 95113RIA
BD
CRD#: 628
SAN JOSE, CA
Current
July 8, 2026 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 333 W. Santa Clara 12th Floor, San Jose, CA 95113RIA
BD
CRD#: 628
SAN JOSE, CA
Past
November 3, 2023 - September 22, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
San Jose, CA
Past
August 21, 2023 - September 22, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
San Jose, CA
Past
April 24, 2002 - November 6, 2023
COMERICA SECURITIES
RIA
CRD#: 17079
SAN JOSE, CA
Past
January 6, 1998 - November 3, 2023
COMERICA SECURITIES
BD
CRD#: 17079
SAN JOSE, CA
Past
April 9, 1997 - March 19, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
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
Arizona(8/10/2026)
IAR
California(7/8/2026)
RR
California(7/9/2026)
RR
District of Columbia(9/25/2026)
RR
Florida(9/25/2026)
RR
Illinois(7/10/2026)
RR
Missouri(9/23/2026)
RR
Nevada(9/22/2026)
RR
Oregon(9/27/2026)
RR
Tennessee(7/10/2026)
RR
Texas(7/8/2026)
IAR
Texas(7/8/2026)
RR
Washington(7/14/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 4/8/1997
Investment Company Products/Variable Contracts Representative Examination
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 1090xb, 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
13,533
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 | 47,014 |
| AUM (Assets Under Management) | $ 10,924,793,999 |
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.
