KY
Kob Yan
FIFTH THIRD SECURITIES
Bloomfield Hills, MI 48304
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CRD#: 4019037
KY
Kob YanFIFTH THIRD SECURITIES
Professional summary
Kob Yan, who also goes by Kob Yan, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Bloomfield Hills, Michigan.
Kob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kob has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Kob Yan
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.
Business Ownership; Pokot outreach Medical Missionary (POMM); Owner; 501 - c 3 raising money and medical for the Pokot tribe in Kenya.; 3111 main st, , royal oak, MI, 48073; Not Investment-Related; 06/12/2025; 1 to 9 hours per month; 0 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Kob Yan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kob Yan'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 10, 2026 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 39400 Woodward Ave Suite 255, Bloomfield Hills, MI 48304RIA
BD
CRD#: 628
Bloomfield Hills, MI
Current
July 8, 2026 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 39400 Woodward Ave Suite 255, Bloomfield Hills, MI 48304RIA
BD
CRD#: 628
Bloomfield Hills, MI
Past
November 19, 2024 - September 22, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Bloomfield Hills, MI
Past
November 15, 2024 - September 22, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Bloomfield Hills, MI
Past
January 8, 2008 - November 18, 2024
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
ROCHESTER, MI
Past
October 18, 2006 - December 14, 2007
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
ROCHESTER, MI
Past
December 1, 2005 - November 18, 2024
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
ROCHESTER, MI
Past
November 12, 2004 - December 1, 2005
CHARTER ONE SECURITIES, INC.
BD
CRD#: 13373
CLEVELAND, OH
Past
June 23, 2003 - November 9, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
June 23, 2000 - May 5, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 23, 2000 - May 5, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
February 13, 2000 - June 14, 2000
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
January 17, 2000 - February 15, 2000
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
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
Colorado(7/27/2026)
RR
Florida(7/9/2026)
RR
Georgia(7/9/2026)
RR
Idaho(7/9/2026)
RR
Illinois(7/28/2026)
RR
Iowa(9/23/2026)
RR
Massachusetts(9/23/2026)
IAR
Michigan(7/10/2026)
RR
Michigan(7/23/2026)
RR
Nevada(9/22/2026)
RR
New York(8/3/2026)
RR
North Carolina(9/23/2026)
RR
Ohio(9/22/2026)
RR
Pennsylvania(9/23/2026)
RR
South Dakota(9/22/2026)
RR
Washington(7/24/2026)
Exams
What does exam status mean?
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 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.
