DM
Daniel N. Mcneil
FIFTH THIRD SECURITIES
Tampa, FL 33602
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CRD#: 3174241
DM
Professional summary
Daniel Nelson Mcneil, CLU® is a registered financial professional currently at FIFTH THIRD SECURITIES, INC. located in Tampa, Florida.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Daniel Nelson Mcneil'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®
Experience
Current
December 10, 2015 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 201 East Kennedy Boulevard, Tampa, FL 33602RIA
BD
CRD#: 628
Tampa, FL
Past
March 9, 2015 - August 31, 2015
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
July 2, 2012 - March 20, 2015
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
TAMPA, FL
Past
November 30, 2010 - June 18, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
July 13, 2010 - November 16, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
WESLEY CHAPEL, FL
Past
April 14, 2005 - June 7, 2010
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
TAMPA, FL
Past
March 20, 1999 - April 25, 2005
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
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.
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
California(12/10/2015)
RR
Connecticut(3/18/2020)
RR
District of Columbia(6/19/2019)
RR
Florida(12/10/2015)
RR
Georgia(11/19/2018)
RR
Illinois(11/19/2018)
RR
Indiana(11/19/2018)
RR
Kentucky(11/19/2018)
RR
Massachusetts(10/16/2017)
RR
Michigan(11/19/2018)
RR
North Carolina(11/19/2018)
RR
Ohio(11/19/2018)
RR
Pennsylvania(11/19/2018)
RR
South Carolina(11/19/2018)
RR
Tennessee(11/19/2018)
Exams
State Security Law Exam
General Industry/Product 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)
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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.
