SP
Stephen L. Peloquin
FIFTH THIRD SECURITIES
Bradenton, FL 34212
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CRD#: 5105759
SP
Professional summary
Stephen Laurence Peloquin, who also goes by Stephen L Peloquin, Stephen Lawrence Peloquin, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Bradenton, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Stephen has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen L Peloquin | Stephen Lawrence Peloquin
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.
Peloquin Enterprises, LLC - Bradenton, FL 34203 - rental property operator - owner/member - 1-2 hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Laurence Peloquin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Laurence Peloquin'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
November 13, 2013 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 13040 Sr 64 E, Bradenton, FL 34212Office #2: 6556 University Pkwy, Sarasota, FL 34240Office #3: 11215 Us 301 N, Parrish, FL 34219Office #4: 3740 Bee Ridge Road, Sarasota, FL 34233Office #5: 2035 Cattlemen Rd., Sarasota, FL 34232Office #6: 6620 S. Tamiami Trail, Sarasota, FL 34231Office #7: 11141 E Sr 70, Bradenton, FL 34202Office #8: 18120 Tamiami Trail, North Port, FL 34287Office #9: 8500 South Tamiami Trail, Sarasota, FL 34238RIA
BD
CRD#: 628
Bradenton, FL
Current
October 31, 2013 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 13040 Sr 64 E, Bradenton, FL 34212Office #2: 6556 University Pkwy, Sarasota, FL 34240Office #3: 11215 Us 301 N, Parrish, FL 34219Office #4: 3740 Bee Ridge Road, Sarasota, FL 34233Office #5: 2035 Cattlemen Rd., Sarasota, FL 34232Office #6: 6620 S. Tamiami Trail, Sarasota, FL 34231Office #7: 11141 E Sr 70, Bradenton, FL 34202Office #8: 18120 Tamiami Trail, North Port, FL 34287Office #9: 8500 South Tamiami Trail, Sarasota, FL 34238RIA
BD
CRD#: 628
Bradenton, FL
Past
November 4, 2011 - October 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SARASOTA, FL
Past
September 16, 2011 - October 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SARASOTA, FL
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
Alabama(8/3/2015)
RR
Colorado(1/9/2018)
RR
Connecticut(10/24/2024)
RR
Florida(10/31/2013)
IAR
Florida(11/13/2013)
RR
Georgia(10/16/2014)
RR
Illinois(1/24/2023)
RR
Indiana(1/30/2014)
RR
Iowa(6/11/2024)
RR
Kentucky(1/24/2023)
RR
Maryland(11/19/2020)
RR
Massachusetts(11/8/2017)
RR
Michigan(5/1/2014)
RR
Minnesota(8/19/2015)
RR
Missouri(8/15/2014)
RR
New Hampshire(11/19/2020)
RR
New Jersey(3/13/2015)
RR
New York(11/6/2013)
RR
North Carolina(11/8/2017)
RR
Ohio(1/7/2014)
RR
Oregon(11/19/2020)
RR
Pennsylvania(5/1/2014)
RR
South Carolina(4/12/2019)
RR
Tennessee(11/26/2013)
RR
Texas(3/29/2018)
RR
Virginia(5/1/2014)
RR
Wisconsin(1/24/2023)
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.
