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Employer firm

Fifth Third Securities, Inc. CRD 628

$10.9B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • SPONSOR WRAP FEE PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Fifth Third Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2020-02-28
  • MI RA
    APPROVED
    Since 2020-02-28

Branch Locations

Warren, MI • United States

32777 23 Mile Road, New Baltimore, MI 48047 • United States

35320 Jefferson Ave, Harrison Twp, MI 48045 • United States

25745 Ford Road, Dearborn Heights, MI 48127 • United States

3000 Union Lake Road, Commerce Township, MI 48382 • United States

3400 Woodward Avenue Suite 165, Bloomfield, MI 48304 • United States

4999 Crooks Road, Troy, MI 48098 • United States

36440 Woodward Avenue, Bloomfield, MI 48304 • United States

2730 East West Maple Street, Commerce Township, MI 48382 • United States

20180 Mack Avenue, Grosse Pointe Woods, MI 48236 • United States

49 W Michigan Ave, Battle Creek, MI 49017 • United States

350 S. Main Street Suite 100, Detroit, MI 48226 • United States

23120 Allen Road, Woodhaven, MI 48183 • United States

30200 Harper Ave, St. Clair Shores, MI 48082 • United States

39010 Groesbeck, Clinton Twp, MI 48036 • United States

19681 Gallahad Drive, Macomb, MI 48044 • United States

5671 Whitmore Lake, Brighton, MI 48114 • United States

8520 Hilton Road, Brighton, MI 48114 • United States

5226 S Cedar Street, Lansing, MI 48911 • United States

99 Monroe Ave Nw, Grand Rapids, MI 49503 • United States

25950 Pontiac Trail, South Lyon, MI 48178 • United States

223 N Clippert Street, Lansing, MI 48912 • United States

30244 Milford Road, New Hudson, MI 48165 • United States

1915 E 14 Mile Road, Sterling Heights, MI 48310 • United States

1000 Woodward Ave Suite 700, Detroit, MI 48226 • United States

15251 24 Mile Road, Macomb, MI 48042 • United States

36455 Corporate Drive, Farmington Hills, MI 48331 • United States

1620 W. Michigan Ave, Jackson, MI 49202 • United States

1339 Horton Road, Jackson, MI 49203 • United States

43020 Van Dyke, Sterling Heights, MI 48314 • United States

101 N Washington Square, Lansing, MI 48933 • United States

151 S. Rose Street 6Th Floor, Kalamazoo, MI 49004 • United States

35795 Gratiot Ave, Clinton Twp, MI 48035 • United States

16081 Technology Drive, Northville, MI 48168 • United States

36910 Van Dyke, Sterling Heights, MI 48312 • United States

7991 Spring Arbor Road, Spring Arbor, MI 49283 • United States

411 W Lafayette Blvd, Detroit, MI 48226 • United States

5370 Jackson Road, Ann Arbor, MI 48103 • United States

1494 John R Road, Troy, MI 48083 • United States

301 N. Jackson Street, Jackson, MI 49201 • United States

39400 Woodward Ave Suite 255, Bloomfield Hills, MI 48304 • United States

20200 Mack Ave, Grosse Pointe Woods, MI 48236 • United States

5510 W Saginaw Hwy, Lansing, MI 48917 • United States

16150 Michigan Ave, Dearborn, MI 48126 • United States

1955 18 Mile Road, Sterling Heights, MI 48314 • United States

101 W. Big Beaver Road Suite 1200, Detroit, MI 48226 • United States

215 N 20Th Street, Battle Creek, MI 49037 • United States

28801 Groesbeck Hwy, Roseville, MI 48066 • United States

8660 26 Mile Road, Shelby Twp., MI 48316 • United States

2707 Airport Road, Jackson, MI 49202 • United States

66 Kercheval, Grosse Pointe Farms, MI 48236 • 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
Infinex Investments, Inc. Troy MI 07/2016 04/2017
Citizens Securities, Inc. Southfield MI 04/2017 02/2020
Fifth Third Securities Clinton Township MI 02/2020 Present
Fifth Third Bank Clinton Township MI 02/2020 Present
  • 07/2016 → 04/2017
    Infinex Investments, Inc.
    Troy, MI
  • 04/2017 → 02/2020
    Southfield, MI
  • 02/2020 → Present
    Fifth Third Securities
    Clinton Township, MI
  • 02/2020 → Present
    Fifth Third Bank
    Clinton Township, MI
Previous Registrations
  • 2017-04-13 → 2020-02-19
    Southfield, MI
    Columbus, OH
  • 2016-07-01 → 2017-05-01
    Troy, MI
  • 2014-09-17 → 2016-07-01
    Essex National Securities, Llc
    Troy, MI
  • 2006-04-04 → 2013-11-08
    Canton, MI
    Canton, MI
    Southfield, MI
    Redford, MI
    Grand Rapids, MI
    Chesterfield, MI
    Clinton Township, MI
    Troy, MI
    Warren, MI
    Clinton Twp, MI
    Sterling Heights, MI
    Macomb, MI
    Warren, MI
    Shelby Twp, MI
    Canton, MI
    Southfield, MI
    Novi, MI
    Livonia, MI
    Mt.CLemens, MI
    Warren, MI
    Harrison Township, MI
    Warren, MI
    Clinton Township, MI
    Warren, MI
    Sterling Hts., MI
    Walled Lake, MI
    Chesterfield, MI
    Commerce Township, MI
    Clinton Township, MI
    Shelby Twp., MI
    Sterling Heights, MI
    Warren, MI
    Farmington Hills, MI
    Clinton Township, MI
    Washington, MI
    Warren, MI
    Macomb Township, MI
    Mount Clemens, MI
    Warren, MI
    Sterling Hts., MI
    Clinton Township, MI
    Clinton Township, MI
    Waterford, MI
    Redford Township, MI
    Warren, MI
    Washington, MI
    St. Clair Shores, MI
    New Baltimore, MI
    Rochester, MI
    Shelby Township, MI
    Dearborn, MI
    Birmingham, MI
    St. Clair Shores, MI
    Ferndale, MI
    Southfield, MI
    Shelby Township, MI
    Novi, MI
    Northville Township, MI
    West Bloomfield, MI
    Troy, MI
    Warren, MI
    Hamtramck, MI
    Macomb, MI
Other Businesses

farm rental - Coldwater, MI 49036 - agriculture - owner - nominal hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-12
S65 Uniform Investment Adviser Law Examination 2000-10-26
S63 Uniform Securities Agent State Law Examination 1988-08-05
  • S66 Uniform Combined State Law Examination
    2006-09-12
  • S65 Uniform Investment Adviser Law Examination
    2000-10-26
  • S63 Uniform Securities Agent State Law Examination
    1988-08-05
Other Names
  • Jim Barone
  • James Scott Barone

View on SEC IAPD

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