JM
John Mazzarella
FIFTH THIRD SECURITIES
Northville, MI 48167
Some features on this profile are disabled
CRD#: 6015059
JM
Professional summary
John Mazzarella, CFA, who also goes by John Joseph Mazzarella Jr, John Joseph Mazzarella, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Northville, Michigan.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. John has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Joseph Mazzarella Jr | John Joseph Mazzarella
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Mazzarella's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Mazzarella'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®
Experience
Current
September 28, 2020 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 20205 Haggerty, Northville, MI 48167Office #2: 803 S Main St, Royal Oak, MI 48067Office #3: 29710 Woodward Ave, Royal Oak, MI 48073Office #4: 3315 Washtenaw, Ann Arbor, MI 48104Office #5: 1940 Whittaker, Ypsilanti, MI 48197Office #6: 2090 W Stadium Blvd, Ann Arbor, MI 48103Office #7: 4747 Haggerty Rd, West Bloomfield, MI 48323Office #8: 27255 Lahser, Southfield, MI 48034Office #9: 1620 N Telegraph Rd, Dearborn, MI 48128Office #10: 7041 Schaefer Rd., Dearborn, MI 48128Office #11: 3927 W Eight Mile Rd, Detroit, MI 48221Office #12: 19111 Telegraph Road, Detroit, MI 48219Office #13: 23633 Greenfield Rd, Southfield, MI 48075RIA
BD
CRD#: 628
Northville, MI
Current
September 29, 2020 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 20205 Haggerty, Northville, MI 48167Office #2: 803 S Main St, Royal Oak, MI 48067Office #3: 29710 Woodward Ave, Royal Oak, MI 48073Office #4: 3315 Washtenaw, Ann Arbor, MI 48104Office #5: 1940 Whittaker, Ypsilanti, MI 48197Office #6: 2090 W Stadium Blvd, Ann Arbor, MI 48103Office #7: 4747 Haggerty Rd, West Bloomfield, MI 48323Office #8: 27255 Lahser, Southfield, MI 48034Office #9: 1620 N Telegraph Rd, Dearborn, MI 48128Office #10: 7041 Schaefer Rd., Dearborn, MI 48128Office #11: 3927 W Eight Mile Rd, Detroit, MI 48221Office #12: 19111 Telegraph Road, Detroit, MI 48219Office #13: 23633 Greenfield Rd, Southfield, MI 48075RIA
BD
CRD#: 628
Northville, MI
Past
September 7, 2018 - September 22, 2020
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
BIRMINGHAM, MI
Past
September 7, 2018 - September 22, 2020
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
BIRMINGHAM, MI
Past
February 16, 2017 - September 13, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
SOLON, OH
Past
October 21, 2014 - September 13, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
SOLON, OH
Past
January 10, 2014 - October 10, 2014
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
ROCHESTER, NY
Past
June 21, 2012 - November 19, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ROCHESTER, NY
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(1/3/2022)
RR
Arizona(6/12/2024)
RR
California(3/11/2021)
RR
District of Columbia(5/29/2024)
RR
Florida(10/6/2020)
RR
Georgia(1/11/2023)
RR
Illinois(1/9/2024)
RR
Indiana(2/6/2023)
RR
Kentucky(1/30/2024)
IAR
Michigan(9/28/2020)
RR
Michigan(10/1/2020)
RR
Missouri(11/17/2020)
RR
North Carolina(12/12/2023)
RR
North Dakota(11/12/2024)
RR
Ohio(10/5/2020)
RR
Pennsylvania(2/10/2025)
RR
South Carolina(2/25/2021)
RR
Texas(6/15/2024)
RR
Wisconsin(1/16/2024)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
