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Detailed Report
Kortnie K James
CRD#: 7742582
IA
Investment Adviser
B
Broker
FIFTH THIRD SECURITIES, INC.CRD#: 628 340 RICHWOOD ROAD
RICHWOOD, KY 41094
Registration History
2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Arkansas 1/2/2024
B
Maryland 1/2/2024
B
Colorado 1/2/2024
B
Michigan 1/2/2024
B
Delaware 1/2/2024
B
Minnesota 1/2/2024
B
Florida 1/2/2024
B
Ohio 1/2/2024
B
Georgia 1/2/2024
B
South Carolina 1/2/2024
B
Indiana 1/2/2024
B
Texas 1/2/2024
B
Kentucky 9/15/2023
B
Utah 1/2/2024
IA
Kentucky 12/4/2023
B
Virginia 1/2/2024

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)
340 RICHWOOD ROAD, RICHWOOD, KY 41094
590 BUTTERMILK PIKE, CRESCENT SPRINGS, KY 41017
Registered with this firm since 12/4/2023
B
FIFTH THIRD SECURITIES, INC. (CRD#:628)
340 RICHWOOD ROAD, RICHWOOD, KY 41094
590 BUTTERMILK PIKE, CRESCENT SPRINGS, KY 41017
Registered with this firm since 7/11/2023
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.