Director, Executive Director of Institutional Business · Fifth Third Securities, Inc.
James Paul Ludwick
CRD 4286771 · Named on Form ADV at one SEC-registered adviser
At a glance
Fifth Third Securities, Inc., an SEC-registered broker-dealer firm based in Cincinnati, OH with $10.9 billion in regulatory assets, lists James Paul Ludwick on its Form ADV as Director, Executive Director of Institutional Business, a control person.
Firms and roles
- Fifth Third Securities, Inc.Director, Executive Director of Institutional BusinessBroker-dealer firm · Cincinnati, OH · $11B in regulatory assets
AtlasMembers
James’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2012 (13 years)
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
James’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (8)
- Jarrett Andrew JacobsDirector, BD Chief Compliance Officer/ria Chief Compliance Officer, Fifth Third Securities, Inc.
- Justin Michael OvermannDirector, Principal Operations Officer, Fifth Third Securities, Inc.
- Ginger Michelle KellyDirector, Chief Administrative Officer - Retail, Fifth Third Securities, Inc.
- Robert Franklin MarcusDirector, Head of Capital Markets, Fifth Third Securities, Inc.
- Robert Albert CorsarieDirector, Head of Retail Brokerage, Fifth Third Securities, Inc.
3 more people named with James on the same filings, with titles and firms. Free in Atlas with a free account.
See all 8 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For James’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.