KD
Kelsey E. Dietzman
FIFTH THIRD SECURITIES
Matthews, NC 28105
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CRD#: 7505628
KD
Professional summary
Kelsey Elisabeth Dietzman, who also goes by Kelsey Elisabeth Black, Kelsey Black, Kelsey Elisabeth Black, Kelsey Elisabeth Dietzman, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Matthews, North Carolina.
Kelsey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Kelsey has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kelsey Elisabeth Black | Kelsey Black | Kelsey Elisabeth Black | Kelsey Elisabeth Dietzman
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.
STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. TITLE: FINANCIAL ADVISORY SERVICES. START DATE 4/2022. DUTIES: PROVIDE FINANCIAL SERVICES TO ELIGIBLE MEMBERS AND PROVIDE OPPORTUNITIES FOR MEMBERS TO IMPROVE THEIR ECONOMIC AND SOCIAL CONDITION. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: AGENT. START DATE: 6/2022. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION.
CRS (Client Relationship Summary) - RIA
Click below to view Kelsey Elisabeth Dietzman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kelsey Elisabeth Dietzman'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 3, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 1818 Matthews Township Pkwy, Matthews, NC 28105RIA
BD
CRD#: 628
Matthews, NC
Current
November 3, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 1818 Matthews Township Pkwy, Matthews, NC 28105RIA
BD
CRD#: 628
Matthews, NC
Past
January 6, 2023 - October 19, 2023
CREDIT UNION INVESTMENT SERVICES
RIA
CRD#: 144871
Waxhaw, NC
Past
September 27, 2022 - October 19, 2023
SECU BROKERAGE SERVICES
BD
CRD#: 19899
MONROE, NC
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(1/5/2024)
RR
Alaska(1/5/2024)
RR
Arizona(1/5/2024)
RR
Arkansas(1/5/2024)
RR
California(11/3/2023)
RR
Colorado(1/5/2024)
RR
Connecticut(1/5/2024)
RR
Delaware(1/5/2024)
RR
District of Columbia(1/5/2024)
RR
Florida(1/5/2024)
RR
Georgia(1/5/2024)
RR
Hawaii(1/5/2024)
RR
Idaho(1/5/2024)
RR
Illinois(1/5/2024)
RR
Indiana(1/5/2024)
RR
Iowa(1/5/2024)
RR
Kansas(1/5/2024)
RR
Kentucky(1/5/2024)
RR
Louisiana(1/5/2024)
RR
Maine(1/5/2024)
RR
Maryland(1/5/2024)
RR
Massachusetts(1/5/2024)
RR
Michigan(1/5/2024)
RR
Minnesota(1/5/2024)
RR
Mississippi(1/5/2024)
RR
Missouri(1/5/2024)
RR
Montana(1/5/2024)
RR
Nebraska(1/5/2024)
RR
Nevada(1/5/2024)
RR
New Hampshire(1/5/2024)
RR
New Jersey(1/5/2024)
RR
New Mexico(1/5/2024)
RR
New York(1/5/2024)
RR
North Carolina(11/3/2023)
IAR
North Carolina(11/3/2023)
RR
North Dakota(1/5/2024)
RR
Ohio(1/6/2024)
RR
Oklahoma(1/5/2024)
RR
Oregon(1/5/2024)
RR
Pennsylvania(1/5/2024)
RR
Rhode Island(1/5/2024)
RR
South Carolina(1/5/2024)
RR
South Dakota(1/5/2024)
RR
Tennessee(1/5/2024)
RR
Texas(1/5/2024)
RR
Utah(1/5/2024)
RR
Vermont(1/5/2024)
RR
Virginia(1/5/2024)
RR
Washington(1/5/2024)
RR
West Virginia(1/5/2024)
RR
Wisconsin(1/5/2024)
RR
Wyoming(1/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/3/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 9/27/2022
Investment Company Products/Variable Contracts 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.
