Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
STEPHEN JOHN TEMMER
CRD#: 2221021
IA
Investment Adviser
B
Broker
FIFTH THIRD SECURITIES, INC.CRD#: 628 1296 RICKERT DRIVE
NAPERVILLE, IL 60540
Registration History
19952000200520102015202020252 FIRMS2006 - 2009 (2 years)IAFIFTH THIRD SECURITIES, INC. (CRD# 628)2016 - Present (8 years)BFIFTH THIRD SECURITIES, INC. (CRD# 628)2009 - Present (15 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1998 - 2006 (8 years)BCLEARING SERVICES OF AMERICA, INC. (CRD# 23623)1994 - 1998 (3 years)BFRANKLIN-LORD, INC. (CRD# 6756)1992 - 1994 (2 years)IAFIFTH THIRD SECURITIES, INC. (CRD# 628)2009 - 2016 (7 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2002 - 2006 (3 years)
License(s)

State Registrations

B
Arizona 3/31/2011
B
Michigan 6/15/2018
B
California 3/1/2024
B
Nevada 2/12/2021
B
Florida 6/15/2018
B
Ohio 1/2/2025
B
Georgia 1/2/2025
B
South Carolina 10/31/2023
B
Illinois 6/29/2009
B
Tennessee 2/12/2021
IA
Illinois 12/4/2017
B
Texas 5/22/2015
B
Indiana 6/29/2009
IA
Texas 7/17/2020
B
Massachusetts 8/26/2019
B
Wisconsin 12/9/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIFTH THIRD SECURITIES, INC. (CRD#:628)
1296 RICKERT DRIVE, NAPERVILLE, IL 60540
2644 SHOWPLACE DR., NAPERVILLE, IL 60564
Registered with this firm since 8/16/2016
B
FIFTH THIRD SECURITIES, INC. (CRD#:628)
1296 RICKERT DRIVE, NAPERVILLE, IL 60540
2644 SHOWPLACE DR., NAPERVILLE, IL 60564
Registered with this firm since 6/29/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/29/2009 - 08/15/2016 FIFTH THIRD SECURITIES, INC. (CRD#:628) NEW LENOX, IL
IA
 09/06/2006 - 06/08/2009 HARRIS INVESTOR SERVICES, INC. (CRD#:137115) CHICAGO, IL
B
 09/06/2006 - 06/08/2009 HARRIS INVESTOR SERVICES, INC. (CRD#:137115) CHICAGO, IL
IA
 09/11/2002 - 07/21/2006 CHARLES SCHWAB & CO., INC. (CRD#:5393) OAK BROOK, IL
B
 06/22/1998 - 07/21/2006 CHARLES SCHWAB & CO., INC. (CRD#:5393) OAK BROOK, IL
B
 11/21/1994 - 06/08/1998 CLEARING SERVICES OF AMERICA, INC. (CRD#:23623) ST. LOUIS, MO
B
 04/27/1992 - 11/28/1994 FRANKLIN-LORD, INC. (CRD#:6756)
FINRA expelled the firm on 11/02/1995
SCOTTSDALE, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.