Thomas A. Nerney
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.
Thomas A Nerney, CPWA®, who also goes by Thomas Anthony Nerney, Thomas Antonio Nerney, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2021-10-06
Expire date: 2023-09-30
Experience
July 21, 2020 - December 3, 2021
FIFTH THIRD SECURITIES, INC.
July 20, 2020 - December 3, 2021
FIFTH THIRD SECURITIES, INC.
April 3, 2020 - June 30, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2020 - June 30, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 2014 - March 13, 2020
FIFTH THIRD SECURITIES, INC.
October 9, 2014 - March 13, 2020
FIFTH THIRD SECURITIES, INC.
April 22, 2008 - July 29, 2014
TRUIST INVESTMENT SERVICES, INC.
April 17, 2008 - July 29, 2014
TRUIST INVESTMENT SERVICES, INC.
January 31, 2007 - April 4, 2008
CHARLES SCHWAB & CO., INC.
January 30, 2007 - April 4, 2008
CHARLES SCHWAB & CO., INC.
November 1, 2005 - January 24, 2007
CHASE INVESTMENT SERVICES CORP.
October 28, 2005 - January 24, 2007
CHASE INVESTMENT SERVICES CORP.
May 25, 2005 - October 17, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2005 - October 17, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 26, 2002 - May 16, 2005
PGIM INVESTMENTS LLC
May 31, 2000 - May 16, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 21, 2000 - April 12, 2000
UBS FINANCIAL SERVICES INC.
December 24, 1998 - January 5, 2000
PRUDENTIAL EQUITY GROUP, LLC
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.
