Todd M. Harvey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Todd M Harvey, CFP®, who also goes by Todd Michael Harvey, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2004. Todd had worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2014 - March 6, 2020
FIFTH THIRD SECURITIES, INC.
November 28, 2014 - March 6, 2020
FIFTH THIRD SECURITIES, INC.
September 9, 2010 - October 31, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 2010 - October 31, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 2009 - June 24, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - June 24, 2010
PNC WEALTH MANAGEMENT LLC
June 17, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
July 5, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
August 11, 2006 - June 20, 2007
CHASE INVESTMENT SERVICES CORP.
August 10, 2006 - June 20, 2007
CHASE INVESTMENT SERVICES CORP.
September 27, 2004 - June 21, 2006
MML INVESTORS SERVICES, LLC
January 28, 2004 - September 1, 2004
PRUCO SECURITIES, LLC.
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
Exams
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.
