Michael A. Zingale
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.
Michael Anthony Zingale, who also goes by Michael Zingale, Mike Anthony Zingale, Mike Zingale, Michael Anthony Zingale, Mike Zingale, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 19 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2022 - August 4, 2023
FIFTH THIRD SECURITIES, INC.
May 11, 2022 - August 4, 2023
FIFTH THIRD SECURITIES, INC.
December 15, 2017 - December 20, 2021
LPL FINANCIAL LLC
December 15, 2017 - December 20, 2021
LPL FINANCIAL LLC
March 3, 2017 - December 7, 2017
GROVE POINT INVESTMENTS, LLC
March 3, 2017 - December 7, 2017
GROVE POINT INVESTMENTS, LLC
September 8, 2015 - March 8, 2017
PRINCIPAL SECURITIES, INC.
July 24, 2015 - March 8, 2017
PRINCIPAL SECURITIES, INC.
November 7, 2014 - April 20, 2015
MERCER GLOBAL ADVISORS INC.
December 13, 2012 - November 25, 2014
FISHER INVESTMENTS
September 13, 2011 - July 30, 2012
ADVANCED EQUITIES, INC.
September 13, 2011 - September 10, 2012
ADVANCED EQUITIES, INC.
September 4, 2007 - October 4, 2011
SII INVESTMENTS, INC.
September 4, 2007 - October 4, 2011
SII INVESTMENTS, INC.
December 15, 2006 - September 19, 2007
OSAIC SERVICES, INC.
April 3, 2006 - December 18, 2006
LPL FINANCIAL LLC
April 3, 2006 - December 18, 2006
LPL FINANCIAL LLC
June 21, 2005 - April 25, 2006
1717 CAPITAL MANAGEMENT COMPANY
April 20, 2005 - April 25, 2006
1717 CAPITAL MANAGEMENT COMPANY
December 13, 2004 - April 6, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2004 - April 6, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 2003 - August 31, 2004
OSAIC WEALTH, INC.
June 26, 2003 - November 19, 2003
CINCINNATI ANALYSTS, INC.
June 9, 2003 - June 23, 2003
METROPOLITAN LIFE INSURANCE COMPANY
June 9, 2003 - June 23, 2003
MSI FINANCIAL SERVICES, INC.
December 10, 2001 - June 25, 2003
THE HUNTINGTON INVESTMENT COMPANY
August 7, 2001 - December 19, 2001
NYLIFE SECURITIES LLC
September 22, 1999 - July 23, 2001
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 26, 1998 - September 30, 1999
NYLIFE SECURITIES LLC
November 5, 1997 - April 2, 1998
1717 CAPITAL MANAGEMENT COMPANY
August 28, 1997 - October 31, 1997
LOCUST STREET 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.
