Erik W. Lynch
Professional summary
Erik William Lynch, who also goes by Erik William Lynch, Erik Lynch, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Holland, Michigan.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Erik has worked at 9 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Erik William Lynch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Erik William Lynch's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2024 - Present
FIFTH THIRD SECURITIES, INC.
June 3, 2024 - Present
FIFTH THIRD SECURITIES, INC.
August 18, 2022 - October 19, 2023
WELLS FARGO CLEARING SERVICES, LLC
August 18, 2022 - October 19, 2023
WELLS FARGO CLEARING SERVICES, LLC
August 2, 2016 - August 12, 2022
OPPENHEIMER & CO. INC.
July 29, 2016 - August 12, 2022
OPPENHEIMER & CO. INC.
June 29, 2010 - July 26, 2016
CHARLES SCHWAB & CO., INC.
July 9, 2009 - July 26, 2016
CHARLES SCHWAB & CO., INC.
November 21, 2007 - September 5, 2008
USA ADVANCED PLANNERS INC.
October 11, 2005 - June 20, 2007
MML INVESTORS SERVICES, LLC
May 23, 2005 - August 22, 2005
IDS LIFE INSURANCE COMPANY
May 23, 2005 - August 22, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2001 - February 26, 2005
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/3/2024)
(6/3/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
Contact information
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.
