WM
William F. Mccarty
FIFTH THIRD SECURITIES
ROSEMONT, IL 60018
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CRD#: 2882539
WM
Professional summary
William F Mccarty IV, who also goes by William Francis Mccarty IV, William Francis Mccarty, Bill Mccarty, William F Mccarty, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Rosemont, Illinois.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. William has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Francis Mccarty Iv | William Francis Mccarty | Bill Mccarty | William F Mccarty
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.
Ebay - online - personal item sales - seller - 5 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm ------------------------------------------------------------ Facebook Market Place - online - personal item sales - seller - 5 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm
CRS (Client Relationship Summary) - RIA
Click below to view William F Mccarty IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William F Mccarty IV'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
September 21, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 6111 N River Road, Rosemont, IL 60018RIA
BD
CRD#: 628
ROSEMONT, IL
Current
September 21, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 6111 N River Road, Rosemont, IL 60018RIA
BD
CRD#: 628
ROSEMONT, IL
Past
July 9, 2019 - September 14, 2023
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Orland Park, IL
Past
July 9, 2019 - September 14, 2023
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Orland Park, IL
Past
January 25, 2012 - March 20, 2019
FIRST TRUST ADVISORS LP
RIA
CRD#: 107027
WHEATON, IL
Past
January 25, 2012 - March 20, 2019
FIRST TRUST PORTFOLIOS L.P.
BD
CRD#: 28519
WHEATON, IL
Past
October 8, 2007 - February 2, 2012
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SCHAUMBURG, IL
Past
June 29, 2007 - February 2, 2012
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
December 11, 2003 - June 5, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
TINLEY PARK, IL
Past
October 25, 2000 - August 4, 2003
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
July 6, 2000 - July 11, 2000
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
October 28, 1999 - April 13, 2000
MOORS & CABOT, INC.
BD
CRD#: 594
BOSTON, MA
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(10/31/2023)
RR
District of Columbia(10/31/2023)
RR
Illinois(9/21/2023)
IAR
Illinois(9/21/2023)
RR
Massachusetts(10/31/2023)
RR
Pennsylvania(10/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
