John M. Mousel
FIFTH THIRD SECURITIES
Byron Center, MI 49315
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CRD#: 4077203
Professional summary
John Michael Mousel, CFP® is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Byron Center, Michigan.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 26, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Grand Valley State University - 1 Campus Drive Allendale MI 49401 - Adjunct Professor of Economics - 25 hrs/mo (15 mkt hrs) - not securities related - will not interfere with duties of firm
CRS (Client Relationship Summary) - RIA
Click below to view John Michael Mousel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Michael Mousel'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®
CFP®
Start date: 2002
Experience
Current
March 3, 2025 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 2384 84th St., Byron Center, MI 49315Office #2: 530 Baldwin St., Jenison, MI 49428RIA
BD
CRD#: 628
Byron Center, MI
Current
March 3, 2025 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 2384 84th St., Byron Center, MI 49315Office #2: 530 Baldwin St., Jenison, MI 49428RIA
BD
CRD#: 628
Byron Center, MI
Past
January 16, 2024 - March 7, 2025
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Grand Rapids, MI
Past
January 16, 2024 - March 7, 2025
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Grand Rapids, MI
Past
November 1, 2019 - October 27, 2023
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
Sparta, MI
Past
November 1, 2019 - October 27, 2023
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Sparta, MI
Past
December 4, 2017 - November 13, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
KENT CITY, MI
Past
December 4, 2017 - November 13, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
KENT CITY, MI
Past
March 10, 2016 - November 8, 2017
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
April 9, 2013 - January 29, 2016
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ROCKFORD, MI
Past
April 2, 2013 - January 29, 2016
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ROCKFORD, MI
Past
January 20, 2011 - April 8, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
GRAND RAPIDS, MI
Past
January 6, 2011 - April 8, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
GRAND RAPIDS, MI
Past
October 5, 2010 - January 10, 2011
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
GRAND RAPIDS, MI
Past
October 30, 2009 - January 10, 2011
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
GRAND RAPIDS, MI
Past
September 12, 2001 - November 6, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
GRAND RAPIDS, MI
Past
October 12, 2000 - August 14, 2001
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
September 8, 2000 - October 9, 2000
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
WESTLAKE VILLAGE, CA
Past
December 14, 1999 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
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
California(5/15/2025)
RR
Colorado(3/21/2025)
RR
Florida(3/18/2025)
RR
Indiana(3/18/2025)
RR
Maryland(3/21/2025)
RR
Massachusetts(6/30/2025)
RR
Michigan(3/3/2025)
IAR
Michigan(3/3/2025)
RR
Minnesota(5/15/2025)
RR
North Carolina(5/15/2025)
RR
Ohio(3/19/2025)
RR
South Carolina(3/18/2025)
RR
Tennessee(3/18/2025)
RR
Texas(3/18/2025)
RR
Wisconsin(3/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
FIFTH THIRD SECURITIES, INC.
CRD#: 628Byron Center, MI 49315TRUST BUT VERIFY
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