JW
Joseph L. Williams
FIFTH THIRD SECURITIES
Greenwood, IN 46142
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CRD#: 3148308
JW
Professional summary
Joseph L Williams, who also goes by Joseph Lamont Williams, Joseph Lemont Williams, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Greenwood, Indiana.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Lamont Williams | Joseph Lemont Williams
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 Joseph L Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph L Williams'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
November 22, 2019 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 801 West Smith Valley Road, Greenwood, IN 46142Office #2: 5914 Crawfordsville Road, Indianapolis, IN 46224Office #3: 3995 Shelby Street, Indianapolis, IN 46227Office #4: 5075 West Washington Street, Indianapolis, IN 46241Office #5: 5692 Georgetown Road, Indianapolis, IN 46254Office #6: 7921 S. Us 31, Indianapolis, IN 46227Office #7: 251 North Illinois St, Indianapolis, IN 46204Office #8: 4810 S Emerson Avenue, Indianapolis, IN 46203RIA
BD
CRD#: 628
Greenwood, IN
Current
November 22, 2019 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 801 West Smith Valley Road, Greenwood, IN 46142Office #2: 5914 Crawfordsville Road, Indianapolis, IN 46224Office #3: 3995 Shelby Street, Indianapolis, IN 46227Office #4: 5075 West Washington Street, Indianapolis, IN 46241Office #5: 5692 Georgetown Road, Indianapolis, IN 46254Office #6: 7921 S. Us 31, Indianapolis, IN 46227Office #7: 251 North Illinois St, Indianapolis, IN 46204Office #8: 4810 S Emerson Avenue, Indianapolis, IN 46203RIA
BD
CRD#: 628
Greenwood, IN
Past
December 13, 2017 - December 3, 2019
GLOBAL RETIREMENT PARTNERS LLC
RIA
CRD#: 172011
Indianapolis, IN
Past
December 13, 2017 - November 25, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
INDIANAPOLIS, IN
Past
March 8, 2016 - December 19, 2017
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
INDIANAPOLIS, IN
Past
March 8, 2016 - December 19, 2017
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
INDIANAPOLIS, IN
Past
July 8, 2015 - February 26, 2016
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CARMEL, IN
Past
July 8, 2015 - February 26, 2016
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
CARMEL, IN
Past
October 1, 2012 - June 15, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
ZIONSVILLE, IN
Past
October 1, 2012 - June 15, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
ZIONSVILLE, IN
Past
November 29, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
ZIONSVILLE, IN
Past
November 29, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
ZIONSVILLE, IN
Past
November 27, 2007 - November 4, 2011
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
NOBLESVILLE, IN
Past
November 27, 2007 - November 4, 2011
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
NOBLESVILLE, IN
Past
June 10, 2004 - November 20, 2007
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
INDIANAPOLIS, IN
Past
June 10, 2004 - November 20, 2007
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
INDIANAPOLIS, IN
Past
March 25, 2003 - June 3, 2004
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
INDIANAPOLIS, IN
Past
March 4, 2002 - June 3, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
January 1, 1999 - March 7, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
Arizona(12/3/2021)
RR
Connecticut(8/11/2025)
RR
Florida(11/19/2020)
RR
Illinois(8/9/2022)
RR
Indiana(11/22/2019)
IAR
Indiana(11/22/2019)
RR
Kentucky(11/22/2019)
RR
Maryland(12/17/2019)
RR
Missouri(11/16/2020)
RR
Nevada(12/3/2021)
RR
New Jersey(8/23/2022)
RR
New York(8/11/2025)
RR
Ohio(11/20/2020)
RR
Pennsylvania(10/28/2020)
RR
South Carolina(1/2/2020)
RR
Tennessee(3/11/2021)
RR
Texas(11/19/2020)
Exams
State Security Law Exam
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.
