MO
Matthew M. Oconnor
FIFTH THIRD SECURITIES
Simpsonville, SC 29681
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CRD#: 3097693
MO
Professional summary
Matthew Mark Oconnor is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Simpsonville, South Carolina.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Matthew has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Matthew Mark Oconnor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Mark Oconnor'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
February 14, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 2608 Woodruff Road, Simpsonville, SC 29681Office #2: 1510 Woodruff Road, Greenville, SC 29607Office #3: 1 Augusta Street Suite 301, Greenville, SC 29601Office #4: 128 Montreat Rd, Black Mountain, NC 28711Office #5: 402 S Jefferson Ave, West Jefferson, NC 28694Office #6: 406 S Main St, Sparta, NC 28675Office #7: 1667 Tynecastle Hwy, Banner Elk, NC 28604Office #8: 567 N. Broad St, Brevard, NC 28712Office #9: 1585 E. Main Street, Spartanburg, SC 29307Office #10: 150 Weaver Blvd, Weaverville, NC 28787RIA
BD
CRD#: 628
Simpsonville, SC
Current
February 14, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 2608 Woodruff Road, Simpsonville, SC 29681Office #2: 1510 Woodruff Road, Greenville, SC 29607Office #3: 1 Augusta Street Suite 301, Greenville, SC 29601Office #4: 128 Montreat Rd, Black Mountain, NC 28711Office #5: 402 S Jefferson Ave, West Jefferson, NC 28694Office #6: 406 S Main St, Sparta, NC 28675Office #7: 1667 Tynecastle Hwy, Banner Elk, NC 28604Office #8: 567 N. Broad St, Brevard, NC 28712Office #9: 1585 E. Main Street, Spartanburg, SC 29307Office #10: 150 Weaver Blvd, Weaverville, NC 28787RIA
BD
CRD#: 628
Simpsonville, SC
Past
October 5, 2006 - February 21, 2023
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
GREENSBORO, NC
Past
October 5, 2006 - February 21, 2023
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
GREENSBORO, NC
Past
February 7, 2006 - September 6, 2006
EDWARD JONES
RIA
CRD#: 250
CANDLER, NC
Past
February 6, 2006 - September 6, 2006
EDWARD JONES
BD
CRD#: 250
CANDLER, NC
Past
October 3, 2005 - February 7, 2006
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
CHARLOTTE, NC
Past
August 16, 2005 - February 7, 2006
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
November 8, 2004 - April 28, 2005
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ASHEVILLE, NC
Past
November 8, 2004 - April 28, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 8, 2004 - November 3, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CHARLOTTE, NC
Past
June 14, 2004 - November 3, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
August 14, 2000 - June 4, 2004
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
February 4, 2000 - August 24, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Arizona(1/24/2024)
RR
California(1/25/2024)
RR
Connecticut(4/30/2024)
IAR
Connecticut(2/19/2025)
RR
Delaware(4/30/2024)
RR
Florida(4/13/2023)
RR
Georgia(4/30/2024)
IAR
Georgia(10/18/2024)
RR
Illinois(4/30/2024)
RR
Indiana(4/11/2023)
RR
Louisiana(9/12/2025)
IAR
Louisiana(9/12/2025)
RR
Maryland(10/23/2023)
RR
New Hampshire(4/30/2024)
RR
North Carolina(2/14/2023)
IAR
North Carolina(5/1/2024)
RR
Pennsylvania(4/30/2024)
RR
Rhode Island(4/30/2024)
RR
South Carolina(2/14/2023)
IAR
South Carolina(2/14/2023)
RR
Tennessee(2/14/2023)
RR
Virginia(4/30/2024)
IAR
Virginia(9/12/2024)
RR
Washington(4/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/8/2000
Limited Representative-Equity Trader ExamGeneral 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.
Company Information
FIFTH THIRD SECURITIES, INC.
CRD#: 628Simpsonville, SC 29681TRUST BUT VERIFY
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