RS
Roger Suchy
FIFTH THIRD SECURITIES
Northbrook, IL 60062
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CRD#: 4398133
RS
Professional summary
Roger Suchy, who also goes by Roger P Suchy, Roger P. Suchy, Roger Suchy, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Northbrook, Illinois.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Roger has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger P Suchy | Roger P. Suchy | Roger Suchy
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 Roger Suchy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roger Suchy'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
June 3, 2020 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 1300 Meadow Road, Northbrook, IL 60062Office #2: 240 Skokie Blvd., Northbrook, IL 60062Office #3: 2823 Pfingsten Rd, Glenview, IL 60026Office #4: 6111 N River Road, Rosemont, IL 60018Office #5: 7150 Mannheim Rd., Rosemont, IL 60018RIA
BD
CRD#: 628
Northbrook, IL
Current
June 3, 2020 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 1300 Meadow Road, Northbrook, IL 60062Office #2: 240 Skokie Blvd., Northbrook, IL 60062Office #3: 2823 Pfingsten Rd, Glenview, IL 60026Office #4: 6111 N River Road, Rosemont, IL 60018Office #5: 7150 Mannheim Rd., Rosemont, IL 60018RIA
BD
CRD#: 628
Northbrook, IL
Past
March 27, 2017 - June 5, 2020
ASSOCIATED INVESTMENT SERVICES, INC.
RIA
CRD#: 1464
EAU CLAIRE, WI
Past
March 27, 2017 - June 5, 2020
ASSOCIATED INVESTMENT SERVICES, INC.
BD
CRD#: 1464
EAU CLAIRE, WI
Past
February 23, 2015 - March 20, 2017
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
Wheaton, IL
Past
February 23, 2015 - March 20, 2017
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
CHICAGO, IL
Past
January 15, 2014 - March 10, 2015
BENJAMIN F. EDWARDS & COMPANY, INC.
RIA
CRD#: 146936
WHEATON, IL
Past
January 14, 2014 - March 10, 2015
BENJAMIN F. EDWARDS & COMPANY, INC.
BD
CRD#: 146936
WHEATON, IL
Past
June 24, 2010 - November 26, 2013
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
CHICAGO, IL
Past
April 13, 2010 - June 11, 2010
MORGAN STANLEY
RIA
CRD#: 149777
LISLE, IL
Past
April 13, 2010 - June 11, 2010
MORGAN STANLEY
BD
CRD#: 149777
LISLE, IL
Past
May 5, 2008 - May 20, 2008
CONCORDIUS CAPITAL ADVISORS
RIA
CRD#: 142852
GLEN ELLYN, IL
Past
February 26, 2008 - April 30, 2008
WFG INVESTMENTS, INC.
BD
CRD#: 22704
DALLAS, TX
Past
August 18, 2005 - November 5, 2007
PERSHING LLC
BD
CRD#: 7560
OAK BROOK, IL
Past
April 2, 2004 - June 15, 2005
SILVER OAK SECURITIES, INCORPORATED
BD
CRD#: 46947
JACKSON, TN
Past
January 3, 2002 - April 2, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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(4/15/2022)
RR
Delaware(5/19/2025)
RR
Florida(6/5/2020)
RR
Illinois(6/3/2020)
IAR
Illinois(6/3/2020)
IAR
Indiana(4/6/2021)
RR
Iowa(8/14/2025)
RR
Michigan(7/19/2023)
RR
New Jersey(12/3/2021)
RR
Ohio(5/19/2025)
RR
Tennessee(3/17/2021)
RR
Virginia(3/11/2021)
RR
Wisconsin(6/3/2020)
Exams
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 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.
