DP
David W. Pleiss
FIFTH THIRD SECURITIES
Evansville, IN 47708
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CRD#: 4575716
DP
Professional summary
David W Pleiss, who also goes by David Wayne Pleiss, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Evansville, Indiana.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. David has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Wayne Pleiss
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 David W Pleiss's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David W Pleiss'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
April 16, 2018 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 20 Nw Third St, Evansville, IN 47708RIA
BD
CRD#: 628
Evansville, IN
Current
April 16, 2018 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 20 Nw Third St, Evansville, IN 47708RIA
BD
CRD#: 628
Evansville, IN
Past
January 31, 2012 - April 20, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
JASPER, IN
Past
January 30, 2012 - April 20, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
JASPER, IN
Past
August 31, 2010 - January 13, 2012
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
TOPEKA, KS
Past
May 13, 2008 - September 3, 2010
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
April 23, 2008 - September 3, 2010
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
TOPEKA, KS
Past
November 30, 2005 - January 18, 2008
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
EVANSVILLE, IN
Past
November 30, 2005 - January 18, 2008
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
EVANSVILLE, IN
Past
November 3, 2005 - December 1, 2005
ONB INVESTMENT SERVICES, INC.
RIA
CRD#: 31583
TERRE HAUTE, IN
Past
October 1, 2003 - December 1, 2005
ONB INVESTMENT SERVICES, INC.
BD
CRD#: 31583
TERRE HAUTE, IN
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
Connecticut(3/18/2020)
RR
District of Columbia(3/18/2020)
RR
Indiana(4/16/2018)
IAR
Indiana(10/4/2021)
RR
Kentucky(4/16/2018)
RR
Massachusetts(3/18/2020)
RR
Ohio(4/16/2018)
RR
Pennsylvania(3/18/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 628Evansville, IN 47708TRUST BUT VERIFY
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