Leo Paul Harrington

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
NC	RA	APPROVED	2013-09-19

NC RA
APPROVED

Since 2013-09-19

Branch Locations

8100 Kensington Drive, Waxhaw, NC 28173 • United States

6361 Ardrey Kell Road, Charlotte, NC 28277 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Fifth Third Securities	Charlotte	NC	06/2013	Present

06/2013 → Present

Fifth Third Securities

Charlotte, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-09-17
S65	Uniform Investment Adviser Law Examination	1998-10-16
S63	Uniform Securities Agent State Law Examination	1997-01-14

S66 Uniform Combined State Law Examination

2013-09-17
S65 Uniform Investment Adviser Law Examination

1998-10-16
S63 Uniform Securities Agent State Law Examination

1997-01-14

View on SEC IAPD