George Saliga
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.
George Saliga, who also goes by George M Saliga, George M. Saliga, George Michael Saliga, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2008. George had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2024 - May 29, 2026
FIFTH THIRD SECURITIES, INC.
August 8, 2024 - May 29, 2026
FIFTH THIRD SECURITIES, INC.
March 13, 2023 - June 21, 2024
J.P. MORGAN SECURITIES LLC
March 6, 2023 - June 21, 2024
J.P. MORGAN SECURITIES LLC
February 6, 2018 - March 15, 2023
BANCWEST INVESTMENT SERVICES, INC.
February 6, 2018 - March 15, 2023
BANCWEST INVESTMENT SERVICES, INC.
March 23, 2016 - February 2, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2016 - February 2, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 2014 - January 7, 2016
FISHER INVESTMENTS
September 1, 2011 - October 3, 2014
NUVEEN ASSET MANAGEMENT, LLC
March 5, 2010 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
March 4, 2010 - October 3, 2014
NUVEEN SECURITIES, LLC
June 5, 2008 - January 15, 2010
CHASE INVESTMENT SERVICES CORP.
June 5, 2008 - January 15, 2010
CHASE INVESTMENT SERVICES CORP.
April 7, 2008 - April 21, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
March 14, 2008 - April 21, 2008
AMERIPRISE FINANCIAL SERVICES, 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.
