Derek Yoder

FIFTH THIRD SECURITIES

Dallas, TX 75214

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CRD#: 6185030

Professional summary

Derek Yoder, who also goes by Derek Frederick Yoder, is a registered financial professional currently at FIFTH THIRD SECURITIES, INC. located in Dallas, Texas.

Derek is registered as a RR (Registered Representative) and started their career in finance in 2013. Derek has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.

Aliases

Derek Frederick Yoder

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Derek Yoder's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 27, 2026 - Present

FIFTH THIRD SECURITIES, INC.

Office #1: 6260 E. Mockingbird Lane, Dallas, TX 75214

RIA

CRD#: 628

Dallas, TX

Past

March 16, 2023 - November 21, 2023

COMERICA SECURITIES

RIA

CRD#: 17079

DALLAS, TX

Past

March 16, 2023 - September 28, 2026

COMERICA SECURITIES

CRD#: 17079

DALLAS, TX

Past

September 23, 2021 - March 21, 2023

CAPSTONE PARTNERS

CRD#: 132185

BOSTON, MA

Past

February 17, 2016 - September 20, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DALLAS, TX

Past

November 13, 2015 - September 20, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DALLAS, TX

Past

March 21, 2014 - December 8, 2015

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

DALLAS, TX

Past

June 28, 2013 - March 4, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

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)

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.

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

Texas
(9/27/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

What does exam status mean?

State Security Law Exam

Series 65

Status Unavailable

Passed: 2/17/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 7/5/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Status Unavailable

Passed: 11/1/2021

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 6/28/2013

General Securities Representative Examination

SRO Registrations

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)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

34 Fountain Square Plaza Md 1090xb, 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

13,533

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PASSAGEWAY MANAGED ACCOUNT WRAP FEE PROGRAM BROCHURE (7/14/2026)

SUMMIT MANAGED ACCOUNT FIRM BROCHURE (7/14/2026)

COMPASS MANAGED ACCOUNT FIRM BROCHURE (7/14/2026)

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	47,014
AUM (Assets Under Management)	$ 10,924,793,999

Disclosures

Regulatory Event	38
Arbitration	19

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/20/2025	Cover Page	Report
08/26/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Derek Yoder

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Derek Yoder's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMERICA SECURITIES

COMERICA SECURITIES

CAPSTONE PARTNERS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CREDIT SUISSE SECURITIES (USA) LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

FIFTH THIRD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Passed: 2/17/2016

Series 63

Passed: 7/5/2013

Series 79TO

Passed: 11/1/2021

SIE

Passed: 10/1/2018

Series 7

Passed: 6/28/2013

FINRA

Current Firm

FIFTH THIRD SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIFTH THIRD SECURITIES, INC.

TRUST BUT VERIFY

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