Role at Fifth Third Securities
- Title on Schedule A
- Director, Regional Investment Manager
- Control
- Shannon Johnson Mobley is a control person of Fifth Third Securities.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Shannon Johnson Mobley has held the filed role since June 2021.
The firm
Form ADV filed 14 July 2026
Career on record
Shannon Johnson Mobley has been registered through Fifth Third Securities since March 1999.
- Passed SIE · 2018
- Passed Series 24 · 1999
- Fifth Third Securities, Inc.Current– present · 28 yearsUnion, KY · Adviser representative and broker · Firm CRD 628
- Passed Series 7, Series 63 and Series 65 · 1995
Registrations and exams
Shannon Johnson Mobley has a current investment-adviser registration in Ohio and has passed 5 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Ohio | Investment adviser representative | Approved | 14 March 2011 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 25 April 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 April 1995 |
| Series 24 | General Securities Principal Examination | 24 August 1999 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 17 April 1995 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Shannon Johnson Mobley
- CRD
- 2583704
- Registration status
- Investment adviser and broker registrations
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Shannon Johnson Mobley work?
Shannon Johnson Mobley has been Director, Regional Investment Manager of Fifth Third Securities, Inc. since June 2021, and is a control person of the firm.
Is Shannon Johnson Mobley a financial advisor?
Yes. Shannon Johnson Mobley has a current investment-adviser registration in Ohio, through Fifth Third Securities since March 1999, as of 17 October 2026.
How many years of experience does Shannon Johnson Mobley have?
Shannon Johnson Mobley has worked in the financial industry for 31 years as of 17 October 2026, counted from 17 April 1995, across 1 adviser firm.
What exams has Shannon Johnson Mobley passed?
Shannon Johnson Mobley has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 24 and SIE. The earliest, the Series 7, was passed in April 1995.
Leadership at Fifth Third Securities
- Jarrett Andrew JacobsDirector, BD Chief Compliance Officer/RIA Chief Compliance Officer
- Robert Albert CorsarieDirector, Head of Retail Brokerage
- Ginger Michelle KellyDirector, Chief Administrative Officer - Retail
- James Paul LudwickDirector, Executive Director of Institutional Business
- Timothy LyonsDirector, Managing Director-Trading
- Robert Franklin MarcusDirector, Head of Capital Markets
- Justin Michael OvermannDirector, Principal Operations Officer
- Christopher Scott StratmoenDirector, Principal Financial Officer