Shawn S. Rottink
FIFTH THIRD SECURITIES
Tampa, FL 33625
Some features on this profile are disabled
CRD#: 2957390
Professional summary
Shawn Stuart Rottink, who also goes by Shawn Stuart Rottink, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Tampa, Florida.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Shawn has worked at 14 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn Stuart Rottink
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Stuart Rottink's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shawn Stuart Rottink'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
May 28, 2024 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 12002 Anderson Road, Tampa, FL 33625Office #2: 4319 West Gandy Blvd, Tampa, FL 33611Office #3: 614 S. Dale Mabry Hwy, Tampa, FL 33609Office #4: 2001 Adamo Drive, Tampa, FL 33605Office #5: 2602 East Hillsborough Ave, Tampa, FL 33610Office #6: 2206 East Fowler Ave, Tampa, FL 33612Office #7: 201 East Kennedy Boulevard, Tampa, FL 33602Office #8: 13001 North Dale Mabry Highway, Tampa, FL 33618Office #9: 3411 West Columbus Dr, Tampa, FL 33607RIA
BD
CRD#: 628
Tampa, FL
Current
May 24, 2024 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 12002 Anderson Road, Tampa, FL 33625Office #2: 4319 West Gandy Blvd, Tampa, FL 33611Office #3: 614 S. Dale Mabry Hwy, Tampa, FL 33609Office #4: 2001 Adamo Drive, Tampa, FL 33605Office #5: 2602 East Hillsborough Ave, Tampa, FL 33610Office #6: 2206 East Fowler Ave, Tampa, FL 33612Office #7: 201 East Kennedy Boulevard, Tampa, FL 33602Office #8: 13001 North Dale Mabry Highway, Tampa, FL 33618Office #9: 3411 West Columbus Dr, Tampa, FL 33607RIA
BD
CRD#: 628
Tampa, FL
Past
November 26, 2019 - May 29, 2024
EDWARD JONES
RIA
CRD#: 250
Trinity, FL
Past
November 25, 2019 - May 29, 2024
EDWARD JONES
BD
CRD#: 250
Trinity, FL
Past
August 26, 2016 - July 29, 2019
SYNOVUS SECURITIES, INC.
RIA
CRD#: 14023
TAMPA, FL
Past
August 22, 2016 - July 29, 2019
SYNOVUS SECURITIES, INC.
BD
CRD#: 14023
TAMPA, FL
Past
June 4, 2013 - March 14, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
TAMPA, FL
Past
May 31, 2013 - March 14, 2016
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
TAMPA, FL
Past
August 10, 2012 - July 31, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
TAMPA, FL
Past
July 10, 2012 - July 31, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
TAMPA, FL
Past
November 13, 2009 - November 12, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
TAMPA, FL
Past
January 23, 2009 - November 12, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
TAMPA, FL
Past
February 13, 2007 - July 26, 2008
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
BIRMINGHAM, AL
Past
August 10, 2006 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
CLEARWATER, FL
Past
August 16, 2004 - July 3, 2006
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
CLEARWATER, FL
Past
August 12, 2004 - July 3, 2006
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
CLEARWATER, FL
Past
May 3, 2004 - March 16, 2005
COLONIAL ASSET MANAGEMENT INC
RIA
CRD#: 108950
PALM HARBOR, FL
Past
April 20, 2004 - September 9, 2004
COLONIAL BROKERAGE, INC.
BD
CRD#: 111668
MONTGOMERY, AL
Past
July 1, 2003 - April 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TAMPA, FL
Past
July 1, 2003 - April 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 23, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
TAMPA, FL
Past
May 23, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 9, 1998 - May 25, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Arkansas(6/20/2024)
RR
California(5/24/2024)
RR
Florida(5/24/2024)
IAR
Florida(5/28/2024)
RR
Illinois(6/20/2024)
RR
Indiana(6/20/2024)
RR
Kentucky(6/20/2024)
RR
Massachusetts(6/20/2024)
RR
Michigan(6/21/2024)
RR
Minnesota(2/6/2025)
RR
Missouri(6/20/2024)
RR
Nevada(6/20/2024)
RR
New Jersey(6/20/2024)
RR
New York(6/20/2024)
RR
Ohio(6/21/2024)
RR
Pennsylvania(6/20/2024)
RR
Puerto Rico(6/20/2024)
RR
Tennessee(6/20/2024)
RR
Texas(6/20/2024)
RR
Utah(6/20/2024)
RR
Wisconsin(6/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
