DN
David G. Newman
FIFTH THIRD SECURITIES
Cincinnati, OH 45263
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CRD#: 3093439
DN
Professional summary
David George Newman, who also goes by Dave Newman, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Cincinnati, Ohio.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, Series 7TO, SIE, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Newman
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 David George Newman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David George Newman'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 31, 2019 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 5001 Kingsley Drive, Cincinnati, OH 45263Office #2: 9873 Bolingbroke Drive, West Chester, OH 45241RIA
BD
CRD#: 628
Cincinnati, OH
Current
August 1, 2019 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 5001 Kingsley Drive, Cincinnati, OH 45263Office #2: 9873 Bolingbroke Drive, West Chester, OH 45241RIA
BD
CRD#: 628
Cincinnati, OH
Past
September 6, 2017 - July 17, 2018
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
CINCINNATI, OH
Past
October 30, 2007 - August 10, 2017
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
COVINGTON, KY
Past
August 27, 1998 - August 7, 2017
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
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
Alabama(8/1/2019)
RR
Alaska(8/1/2019)
RR
Arizona(8/1/2019)
RR
Arkansas(8/1/2019)
RR
California(8/1/2019)
RR
Colorado(8/1/2019)
RR
Connecticut(8/1/2019)
RR
Delaware(8/1/2019)
RR
District of Columbia(8/1/2019)
RR
Florida(8/1/2019)
RR
Georgia(8/1/2019)
RR
Hawaii(8/1/2019)
RR
Idaho(8/1/2019)
RR
Illinois(8/1/2019)
RR
Indiana(8/1/2019)
RR
Iowa(8/1/2019)
RR
Kansas(8/1/2019)
RR
Kentucky(8/1/2019)
RR
Louisiana(8/1/2019)
RR
Maine(8/1/2019)
RR
Maryland(8/1/2019)
RR
Massachusetts(8/1/2019)
RR
Michigan(8/1/2019)
RR
Minnesota(8/1/2019)
RR
Mississippi(8/1/2019)
RR
Missouri(8/1/2019)
RR
Montana(8/1/2019)
RR
Nebraska(8/1/2019)
RR
Nevada(8/1/2019)
RR
New Hampshire(8/1/2019)
RR
New Jersey(8/1/2019)
RR
New Mexico(8/1/2019)
RR
New York(8/1/2019)
RR
North Carolina(8/1/2019)
RR
North Dakota(8/1/2019)
IAR
Ohio(7/31/2019)
RR
Ohio(8/1/2019)
RR
Oklahoma(8/1/2019)
RR
Oregon(8/1/2019)
RR
Pennsylvania(8/1/2019)
RR
Puerto Rico(8/1/2019)
RR
Rhode Island(8/1/2019)
RR
South Carolina(8/1/2019)
RR
South Dakota(8/1/2019)
RR
Tennessee(8/1/2019)
RR
Texas(8/1/2019)
RR
Utah(8/1/2019)
RR
Vermont(8/1/2019)
RR
Virginia(8/1/2019)
RR
Washington(8/1/2019)
RR
West Virginia(8/1/2019)
RR
Wisconsin(8/1/2019)
RR
Wyoming(8/1/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
FIFTH THIRD SECURITIES, INC.
CRD#: 628Cincinnati, OH 45263TRUST BUT VERIFY
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