RF
Rolando J. Fernandez
FIFTH THIRD SECURITIES
Matthews, NC 28105
Some features on this profile are disabled
CRD#: 5138773
RF
Professional summary
Rolando Jose Fernandez, who also goes by Rolando Jose Fernandez, Rolando Fernandez, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Matthews, North Carolina.
Rolando is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Rolando has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rolando Jose Fernandez | Rolando Fernandez
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.
Florence Mercantile LLC - Charlotte, NC 28277 - online/pop-up women's clothing - Managing Member - 18 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm
CRS (Client Relationship Summary) - RIA
Click below to view Rolando Jose Fernandez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rolando Jose Fernandez'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
January 12, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 1818 Matthews Township Pkwy, Matthews, NC 28105RIA
BD
CRD#: 628
Matthews, NC
Current
October 5, 2022 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 1818 Matthews Township Pkwy, Matthews, NC 28105RIA
BD
CRD#: 628
Matthews, NC
Past
May 14, 2019 - October 6, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
May 7, 2019 - October 6, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
December 13, 2017 - February 12, 2019
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
Sarasota, FL
Past
November 27, 2017 - February 12, 2019
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
Sarasota, FL
Past
July 12, 2016 - November 29, 2017
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
SARASOTA, FL
Past
June 14, 2016 - November 29, 2017
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PITTSBURGH, PA
Past
August 25, 2015 - March 18, 2016
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SARASOTA, FL
Past
July 11, 2015 - March 17, 2016
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SARASOTA, FL
Past
June 1, 2006 - December 17, 2014
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
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(1/12/2023)
RR
Arizona(1/12/2023)
RR
California(10/5/2022)
RR
Colorado(1/12/2023)
RR
Connecticut(1/12/2023)
RR
Florida(1/12/2023)
RR
Georgia(1/12/2023)
RR
Illinois(1/12/2023)
RR
Kentucky(1/12/2023)
RR
Massachusetts(1/12/2023)
RR
Missouri(1/12/2023)
RR
New Hampshire(1/12/2023)
RR
New Jersey(1/12/2023)
RR
New Mexico(1/12/2023)
RR
New York(1/12/2023)
RR
North Carolina(10/5/2022)
IAR
North Carolina(1/12/2023)
RR
Ohio(1/12/2023)
RR
South Carolina(1/12/2023)
RR
Tennessee(1/12/2023)
RR
Texas(1/12/2023)
RR
Vermont(1/12/2023)
RR
Virginia(1/12/2023)
RR
Washington(1/12/2023)
RR
Wisconsin(1/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
