DG
David W. Gauhs
FIFTH THIRD SECURITIES
DALLAS, TX 75225
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CRD#: 3262028
DG
David W GauhsFIFTH THIRD SECURITIES
Professional summary
David W Gauhs, who also goes by David William Gauhs, David Gauhs, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Dallas, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
David William Gauhs | David Gauhs
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.
Outside Employment; Comerica Financial Advisors; Financial Advisor; Comerica Financial Advisors; 8850 Boedeker, , Dallas, TX, 75225; Investment-Related; 11/06/2023; 40 to 59 hours per month; 20 to 39 during trading hours. Other Business Activities; Financial Oxygen/Maestro; FO2 is a cash management platform for corporate and institutional clients; 8850 Boedeker, , Dallas, TX, 75225; Investment-Related; 11/06/2023; 10 to 19 hours per month; 10 to 19 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view David W Gauhs's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David W Gauhs'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 8, 2026 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 8850 Boedeker St, Dallas, TX 75225RIA
BD
CRD#: 628
DALLAS, TX
Current
July 8, 2026 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 8850 Boedeker St, Dallas, TX 75225RIA
BD
CRD#: 628
DALLAS, TX
Past
November 3, 2023 - September 22, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Dallas, TX
Past
August 21, 2023 - September 22, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Dallas, TX
Past
March 31, 2010 - November 3, 2023
COMERICA SECURITIES
RIA
CRD#: 17079
DALLAS, TX
Past
February 19, 2010 - November 3, 2023
COMERICA SECURITIES
BD
CRD#: 17079
DALLAS, TX
Past
October 23, 2009 - February 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PLANO, TX
Past
October 23, 2009 - February 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PLANO, TX
Past
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
ADDISON, TX
Past
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
ADDISON, TX
Past
December 2, 2002 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
DALLAS, TX
Past
August 25, 1999 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
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
Alabama(9/22/2026)
RR
Arizona(8/10/2026)
RR
California(7/8/2026)
RR
Florida(7/9/2026)
RR
New York(7/14/2026)
RR
North Carolina(9/23/2026)
RR
Ohio(9/22/2026)
RR
South Carolina(9/23/2026)
RR
Texas(7/8/2026)
IAR
Texas(7/8/2026)
Exams
What does exam status mean?
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 1090xb, 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
13,533
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 | 47,014 |
| AUM (Assets Under Management) | $ 10,924,793,999 |
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#: 628Dallas, TX 75225TRUST BUT VERIFY
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