Anupama Gupta Ortiz

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

Authority	Category	Status	Date
IL	RA	APPROVED	2005-06-15

IL RA
APPROVED

Since 2005-06-15

Branch Locations

Hoffman Estates, IL • United States

38 Fountain Square Plaza, Cincinnati, OH 45202 • 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

Organization	City	State	From	To
Fifth Third Bank	Rolling Meadows	IL	04/2005	Present
Fifth Third Securities	Rolling Meadows	IL	04/2005	Present

04/2005 → Present

Fifth Third Bank

Rolling Meadows, IL
04/2005 → Present

Fifth Third Securities

Rolling Meadows, IL

Other Businesses

LOU MALNATI'S - NOT INVESTMENT RELATED - 3685 WOODHEAD DR - CHICAGO, IL 60062 - RESTAURANT - MYSTERY DINER - .25 HRS/MO - WILL NOT INTERFERE WITH DUTIES AT FIRM - EAT MEAL, AND COMPLETE SURVEY ABOUT EXPERIENCE -------------------------------------------------------------------------------- online sales - Chicago, IL - sale of used personal items online - seller - 2 hrs/mo (0 during mkt hrs) - not investment related - will not interfere with duties at firm -------------------------------------------------------------------------------- Primere Beauty LLC - Hoffman Estates, IL 60169 - cosmetic sales - Administrative Assistant - 25 hrs/mo (4 during mkt hrs) - not investment related - will not interfere with duties at firm

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-06-28

S66 Uniform Combined State Law Examination

2001-06-28

Other Names

Anupama Gupta
Anupama Gupta

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