MD
Marsha L. Daugherty
FIFTH THIRD SECURITIES
Wyoming, MI 49509
Some features on this profile are disabled
CRD#: 5875184
MD
Professional summary
Marsha Lynn Daugherty, who also goes by Marsha L Daugherty, Marsha Lynn Daugherty, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Wyoming, Michigan.
Marsha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Marsha has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marsha L Daugherty | Marsha Lynn Daugherty
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.
1) VARIOUS INSURANCE COMPANIES POSITION: invested related NATURE: Fixed insurance and fixed annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2016 ADDRESS: 11973 Sweetwater Drive, Grand Ledge MI 48837, United States DESCRIPTION: selling fixed insurance and fixed annuities 2) NANM LLC POSITION: life insurance NATURE: Fixed insurance and fixed annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2016 ADDRESS: 8400 E Prentice Ave STE 1250, Greenwood Village CO 80111, United States DESCRIPTION: Fixed Life and Fixed Annuities 3) GAY NELL TRUST POSITION: trustee NATURE: Trustee on my mothers trust INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/30/2006 ADDRESS: 723 Strawberry Valley, Comstock Park MI 49321, United States DESCRIPTION: co trustee on my moms trust 4) WHOLEHAN POSITION: fixed accounts NATURE: Fixed life and fixed annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2016 ADDRESS: 2720 Centennial Road, Toledo MI 43617, United States DESCRIPTION: fixed life and fixed annuities
CRS (Client Relationship Summary) - RIA
Click below to view Marsha Lynn Daugherty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marsha Lynn Daugherty'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
August 19, 2024 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 2828 Michael Avenue Sw, Wyoming, MI 49509Office #2: 9325 Cherry Valley Ave, Caledonia, MI 49316Office #3: 62 54th St., Grand Rapids, MI 49548RIA
BD
CRD#: 628
Wyoming, MI
Current
August 19, 2024 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 2828 Michael Avenue Sw, Wyoming, MI 49509Office #2: 9325 Cherry Valley Ave, Caledonia, MI 49316Office #3: 62 54th St., Grand Rapids, MI 49548RIA
BD
CRD#: 628
Wyoming, MI
Past
September 1, 2023 - June 7, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
GRAND LEDGE, MI
Past
September 1, 2023 - June 7, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
GRAND LEDGE, MI
Past
March 7, 2016 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
GRAND LEDGE, MI
Past
March 4, 2016 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
GRAND LEDGE, MI
Past
January 4, 2012 - March 17, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
GRAND LEDGE, MI
Past
January 3, 2012 - March 17, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
GRAND LEDGE, MI
Past
April 15, 2011 - January 6, 2012
MORGAN STANLEY
RIA
CRD#: 149777
GRAND RAPIDS, MI
Past
February 11, 2011 - January 6, 2012
MORGAN STANLEY
BD
CRD#: 149777
GRAND RAPIDS, MI
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
Arizona(9/24/2025)
RR
California(9/24/2025)
RR
Delaware(9/24/2025)
RR
Florida(9/24/2025)
RR
Georgia(6/16/2025)
RR
Illinois(9/24/2025)
RR
Michigan(8/19/2024)
IAR
Michigan(8/19/2024)
RR
Missouri(9/24/2025)
RR
New York(9/17/2025)
RR
North Carolina(9/24/2025)
RR
Ohio(9/24/2025)
RR
Oregon(9/17/2025)
RR
South Carolina(9/24/2025)
RR
South Dakota(9/24/2025)
RR
Tennessee(9/24/2025)
RR
Texas(9/24/2025)
RR
Washington(9/24/2025)
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.
Company Information
FIFTH THIRD SECURITIES, INC.
CRD#: 628Wyoming, MI 49509TRUST BUT VERIFY
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