Ronald M. Cappelletti
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.
Ronald Mark Cappelletti was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1974. Ronald had worked at 12 firms and has passed the Series 65, Series 63, Series 5, Series 15, Series 3, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2010 - January 13, 2012
FIFTH THIRD SECURITIES, INC.
June 17, 2010 - January 13, 2012
FIFTH THIRD SECURITIES, INC.
February 9, 2007 - May 7, 2010
UBS FINANCIAL SERVICES INC.
February 9, 2007 - May 7, 2010
UBS FINANCIAL SERVICES INC.
May 24, 2005 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
May 24, 2005 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
October 20, 2004 - November 30, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - November 30, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 1, 2002 - October 20, 2004
QUICK & REILLY, INC.
September 30, 2002 - October 20, 2004
QUICK & REILLY, INC.
April 29, 2002 - August 28, 2002
RYAN BECK & CO.
July 7, 2000 - May 13, 2002
GRUNTAL & CO., L.L.C.
February 10, 1984 - July 12, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 23, 1980 - March 1, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 1978 - June 22, 1980
VERCOE & COMPANY, INC.
August 23, 1976 - June 24, 1978
ROOSE, WADE AND COMPANY
January 28, 1974 - October 13, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Series 5
Date: 5/17/1995
Interest Rate Options ExaminationSeries 15
Date: 12/8/1993
Foreign Currency Options ExaminationPC
Date: 2/23/1979
AMEX Put and Call ExamSeries 1
Date: 1/23/1974
Registered Representative ExaminationSeries 8
Date: 8/27/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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.
