JM
Jeffrey J. Moore
FIFTH THIRD SECURITIES
Avon, IN 46123
Some features on this profile are disabled
CRD#: 3053700
JM
Professional summary
Jeffrey Joseph Moore, CFP®, who also goes by J Joseph Moore, Jeffrey Moore, Joe Moore, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Avon, Indiana.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jeffrey has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
J Joseph Moore | Jeffrey Moore | Joe Moore
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.
Farm rental - COUNTY ROAD 700 S, Greensburg, IN 47240 - agriculture - owner/landlord - 1 hr/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Joseph Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Joseph Moore'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®
CFP®
Start date: 2019
Experience
Current
September 13, 2016 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 10595 E Us Hwy 36, Avon, IN 46123Office #2: 7373 West 10th Street, Indianapolis, IN 46214Office #3: 947 North Green Street, Brownsburg, IN 46112Office #4: 8430 Windfall Lane, Camby, IN 46113RIA
BD
CRD#: 628
Avon, IN
Current
September 9, 2016 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 10595 E Us Hwy 36, Avon, IN 46123Office #2: 7373 West 10th Street, Indianapolis, IN 46214Office #3: 947 North Green Street, Brownsburg, IN 46112Office #4: 8430 Windfall Lane, Camby, IN 46113RIA
BD
CRD#: 628
Avon, IN
Past
September 7, 2012 - September 8, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
GREENWOOD, IN
Past
August 31, 2012 - September 8, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
GREENWOOD, IN
Past
April 29, 2010 - August 19, 2011
M&I INVESTMENT MANAGEMENT CORP.
RIA
CRD#: 109802
MILWAUKEE, WI
Past
January 29, 2009 - March 26, 2010
M&I FINANCIAL ADVISORS, INC
RIA
CRD#: 16517
GREENWOOD, IN
Past
July 9, 2008 - August 19, 2011
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
GREENWOOD, IN
Past
April 25, 2008 - July 11, 2008
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
INDIANAPOLIS, IN
Past
April 25, 2008 - July 11, 2008
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
INDIANAPOLIS, IN
Past
September 20, 2000 - April 21, 2008
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
INDIANAPOLIS, IN
Past
March 6, 2000 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
March 6, 2000 - April 21, 2008
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
INDIANAPOLIS, IN
Past
July 28, 1998 - January 6, 2000
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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(11/30/2021)
RR
Connecticut(1/10/2018)
RR
Delaware(1/21/2025)
RR
Florida(11/29/2016)
RR
Georgia(10/8/2025)
RR
Hawaii(4/5/2023)
RR
Illinois(1/5/2017)
RR
Indiana(9/13/2016)
IAR
Indiana(9/13/2016)
RR
Kentucky(5/9/2018)
RR
Michigan(10/25/2016)
RR
Missouri(11/23/2020)
RR
New York(5/19/2020)
RR
North Carolina(11/22/2021)
RR
Ohio(11/20/2020)
RR
Pennsylvania(11/22/2021)
RR
South Carolina(5/29/2019)
RR
Tennessee(3/27/2025)
RR
Texas(2/22/2022)
RR
Vermont(1/26/2024)
RR
Virginia(8/10/2022)
RR
West Virginia(11/24/2020)
RR
Wisconsin(10/23/2017)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
