SB
Samuel A. Beriault
FIFTH THIRD SECURITIES
West Lafayette, IN 47906
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CRD#: 6855166
SB
Professional summary
Samuel Alexander Beriault, who also goes by Samuel Alexander Beriault, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in West Lafayette, Indiana.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Samuel has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Samuel Alexander Beriault
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 Samuel Alexander Beriault's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samuel Alexander Beriault'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
November 28, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 500 Sagamore Parkway West, West Lafayette, IN 47906Office #2: 3620 South Street, Lafayette, IN 47905Office #3: 8549 North College Avenue, Indianapolis, IN 46240Office #4: 2411 East 71st Street, Indianapolis, IN 46220Office #5: 8301 N. Michigan Road, Indianapolis, IN 46268Office #6: 9365 E Washington Street, Indianapolis, IN 46229RIA
BD
CRD#: 628
West Lafayette, IN
Current
November 28, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 500 Sagamore Parkway West, West Lafayette, IN 47906Office #2: 3620 South Street, Lafayette, IN 47905Office #3: 8549 North College Avenue, Indianapolis, IN 46240Office #4: 2411 East 71st Street, Indianapolis, IN 46220Office #5: 8301 N. Michigan Road, Indianapolis, IN 46268Office #6: 9365 E Washington Street, Indianapolis, IN 46229RIA
BD
CRD#: 628
West Lafayette, IN
Past
October 27, 2021 - November 21, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Indianapolis, IN
Past
October 6, 2021 - November 21, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Indianapolis, IN
Past
November 30, 2020 - June 15, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Indianapolis, IN
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(4/17/2024)
RR
California(4/17/2024)
RR
Florida(4/17/2024)
RR
Illinois(4/17/2024)
RR
Indiana(11/28/2023)
IAR
Indiana(11/28/2023)
RR
Iowa(4/17/2024)
RR
Kansas(4/17/2024)
RR
Kentucky(4/17/2024)
RR
Michigan(4/17/2024)
RR
Minnesota(4/17/2024)
RR
Missouri(7/29/2024)
RR
Nevada(4/17/2024)
RR
Pennsylvania(4/17/2024)
RR
South Carolina(4/17/2024)
RR
Tennessee(7/29/2024)
RR
Washington(4/17/2024)
RR
Wisconsin(4/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/30/2020
General Securities Representative ExaminationGeneral 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.
