AF
Ana P. Fonseca
FIFTH THIRD SECURITIES
Raleigh, NC 27603
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CRD#: 4115463
AF
Professional summary
Ana Paula Fonseca, who also goes by Ana Paula Almeida, Ana Paula Almeida, Ana Paula Braman, Ana Paula Braman, Ana Paula Fonseca, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Raleigh, North Carolina.
Ana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Ana has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ana Paula Almeida | Ana Paula Almeida | Ana Paula Braman | Ana Paula Braman | Ana Paula Fonseca
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) - RIA
Click below to view Ana Paula Fonseca's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ana Paula Fonseca'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
August 7, 2024 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 7720 Fayetteville Road, Raleigh, NC 27603Office #2: 1145 Us Hwy 70 West, Garner, NC 27529Office #3: 1641 Glenwood Ave, Raleigh, NC 27608Office #4: 4917 Capital Blvd, Raleigh, NC 27616Office #5: 6300 Falls Of Neuse Road, Raleigh, NC 27615Office #6: 615 Oberlin Road, Raleigh, NC 27605Office #7: 1200 Ridge Rd, Raleigh, NC 27607Office #8: 621 East Six Forks Road, Raleigh, NC 27609Office #9: 2260 Treelight Way, Wendell, NC 27591Office #10: 55 District Way, Clayton, NC 27527RIA
BD
CRD#: 628
Raleigh, NC
Current
August 7, 2024 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 7720 Fayetteville Road, Raleigh, NC 27603Office #2: 1145 Us Hwy 70 West, Garner, NC 27529Office #3: 1641 Glenwood Ave, Raleigh, NC 27608Office #4: 4917 Capital Blvd, Raleigh, NC 27616Office #5: 6300 Falls Of Neuse Road, Raleigh, NC 27615Office #6: 615 Oberlin Road, Raleigh, NC 27605Office #7: 1200 Ridge Rd, Raleigh, NC 27607Office #8: 621 East Six Forks Road, Raleigh, NC 27609Office #9: 2260 Treelight Way, Wendell, NC 27591Office #10: 55 District Way, Clayton, NC 27527RIA
BD
CRD#: 628
Raleigh, NC
Past
January 3, 2022 - August 5, 2024
INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 35490
BIRMINGHAM, AL
Past
April 29, 2019 - August 5, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
FUQUAY VARINA, NC
Past
April 29, 2019 - January 3, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Williamsville, NY
Past
January 7, 2016 - April 12, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
WALLINGFORD, CT
Past
December 21, 2015 - April 12, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
WALLINGFORD, CT
Past
April 30, 2015 - December 15, 2015
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
WEST HARTFORD, CT
Past
May 28, 2014 - December 15, 2015
SANTANDER SECURITIES LLC
BD
CRD#: 41791
WEST HARTFORD, CT
Past
January 28, 2013 - May 8, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
HAMDEN, CT
Past
April 6, 2011 - January 29, 2013
ESSEX FINANCIAL SERVICES, INC.
BD
CRD#: 127549
FARMINGTON, CT
Past
November 8, 2010 - April 5, 2011
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
FARMINGTON, CT
Past
October 6, 2009 - November 1, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
NEW HAVEN, CT
Past
February 23, 2005 - July 24, 2009
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
October 5, 2004 - December 17, 2004
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
November 20, 2001 - October 4, 2004
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
January 23, 2001 - October 5, 2001
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
September 25, 2000 - October 16, 2000
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
March 21, 2000 - September 25, 2000
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
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
North Carolina(8/7/2024)
IAR
North Carolina(8/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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 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#: 628Raleigh, NC 27603TRUST BUT VERIFY
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