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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 2010-04-29
  • OH RA
    APPROVED
    Since 2010-04-29

Branch Locations

580 Wessel Drive, Fairfield, OH 45014 • United States

1604 N. Barron St., Eaton, OH 45320 • United States

805 W. State Street, Trenton, OH 45067 • 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 Trotwood OH 01/2010 Present
Fifth Third Securities Trotwood OH 04/2010 Present
  • 01/2010 → Present
    Fifth Third
    Trotwood, OH
  • 04/2010 → Present
    Fifth Third Securities
    Trotwood, OH
Previous Registrations
  • 2005-07-06 → 2010-02-02
    Chase Investment Services Corp.
    Eaton, OH
    West Carrollton, OH
    Oxford, OH
    Eaton, OH
  • 2002-02-07 → 2005-07-06
    Banc One Securities Corporation
    Easton, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-24
  • S66 Uniform Combined State Law Examination
    2000-10-24
Other Names
  • Rita J Smith

View on SEC IAPD

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