Miguel Palacios Jr
Professional summary
Miguel Palacios Jr, who also goes by Miguel Angel Palacios Jr, Miguel Angel Palacios, Miguel Palacios Jr, Miguel Palacios, Angel Miguel Palacios, Miguel A Palacios Jr, Miguel A Palacios, Miguel Angel Palacios Jr., is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Houston, Texas.
Miguel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Miguel has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Miguel Palacios Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Miguel Palacios Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 11, 2026 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 6985 Hwy 6 N, Houston, TX 77084Office #2: 2820 Gessner Rd, Houston, TX 77080Office #3: 14104 Northwest Fwy, Houston, TX 77040August 11, 2026 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 6985 Hwy 6 N, Houston, TX 77084Office #2: 2820 Gessner Rd, Houston, TX 77080Office #3: 14104 Northwest Fwy, Houston, TX 77040June 25, 2024 - August 7, 2026
FROST INVESTMENT SERVICES
June 25, 2024 - August 7, 2026
FROST BROKERAGE SERVICES, INC.
August 3, 2022 - June 24, 2024
PNC WEALTH MANAGEMENT LLC
August 3, 2022 - June 24, 2024
PNC WEALTH MANAGEMENT LLC
October 11, 2021 - July 27, 2022
WELLS FARGO CLEARING SERVICES, LLC
October 11, 2021 - July 27, 2022
WELLS FARGO CLEARING SERVICES, LLC
November 22, 2019 - September 11, 2021
J.P. MORGAN SECURITIES LLC
November 22, 2019 - September 11, 2021
J.P. MORGAN SECURITIES LLC
September 17, 2018 - January 11, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 2018 - January 11, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 2016 - June 12, 2018
J.P. MORGAN SECURITIES 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
(8/11/2026)
(8/11/2026)
Exams
FINRA
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.
