KO
Kevin P. O'hare
FIFTH THIRD SECURITIES
Concord, NC 28025
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CRD#: 4179272
KO
Professional summary
Kevin Patrick O'hare, CFP®, who also goes by Kevin Patrick O Hare, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Concord, North Carolina.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kevin has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Patrick O Hare
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.
Soccer Referee - CHARLOTTE,NC,28227 - independent referee - 5 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Patrick O'hare's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Patrick O'hare'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: 2005
Experience
Current
June 13, 2008 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 40 Cabarrus Avenue East, Concord, NC 28025Office #2: 981 Concord Pkwy South, Concord, NC 28027RIA
BD
CRD#: 628
Concord, NC
Current
June 13, 2008 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 40 Cabarrus Avenue East, Concord, NC 28025Office #2: 981 Concord Pkwy South, Concord, NC 28027RIA
BD
CRD#: 628
Concord, NC
Past
January 3, 2006 - June 16, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
MOORESVILLE, NC
Past
January 3, 2006 - June 16, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
MOORESVILLE, NC
Past
February 11, 2005 - September 21, 2005
BOFA ADVISORS, LLC
RIA
CRD#: 107900
CHARLOTTE, NC
Past
June 21, 2004 - September 21, 2005
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
January 1, 2003 - February 11, 2005
BACAP DISTRIBUTORS, LLC
RIA
CRD#: 46088
CHARLOTTE, NC
Past
January 1, 2003 - June 21, 2004
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
Past
May 17, 2002 - January 1, 2003
STEPHENS
RIA
CRD#: 3496
CHARLOTTE , NC
Past
May 17, 2002 - January 1, 2003
STEPHENS
BD
CRD#: 3496
LITTLE ROCK, AR
Past
June 5, 2001 - May 3, 2002
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
June 7, 2000 - April 27, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 7, 2000 - April 27, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(2/13/2020)
RR
California(11/19/2020)
RR
Florida(7/21/2009)
RR
Georgia(2/13/2020)
RR
Kansas(10/6/2025)
IAR
Kansas(10/6/2025)
RR
Louisiana(10/3/2025)
IAR
Louisiana(10/3/2025)
RR
Michigan(10/26/2010)
RR
Mississippi(7/31/2023)
RR
North Carolina(6/13/2008)
IAR
North Carolina(6/13/2008)
RR
Ohio(6/13/2008)
RR
Rhode Island(11/19/2020)
RR
South Carolina(1/22/2009)
RR
Texas(11/19/2020)
RR
Virginia(2/9/2021)
IAR
Virginia(3/14/2025)
RR
West Virginia(3/13/2025)
Exams
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 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#: 628Concord, NC 28025TRUST BUT VERIFY
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