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Thomas Leaman Faris

Fifth Third Securities, Inc.

Indianapolis, IN

Montgomery, OH

Madeira, OH

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Current Employers
Fifth Third Securities, Inc.

34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2004-11-22
  • OH RA
    APPROVED
    Since 2004-11-22

Branch Locations

5692 Georgetown Road, Indianapolis, IN 46254 • United States

9280 Montgomery Road Suite 300, Montgomery, OH 45242 • United States

Madeira, OH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fifth Third Securities Cincinnati OH 10/2002 Present
  • 10/2002 → Present
    Fifth Third Securities
    Cincinnati, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-11-02
S63 Uniform Securities Agent State Law Examination 1988-07-18
  • S65 Uniform Investment Adviser Law Examination
    2004-11-02
  • S63 Uniform Securities Agent State Law Examination
    1988-07-18
Other Names
  • Tom Faris

View on SEC IAPD

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