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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
IL RA APPROVED 2006-12-15
  • IL RA
    APPROVED
    Since 2006-12-15

Branch Locations

460 Randall Rd., South Elgin, IL 60177 • United States

700 S. Randall Road, St. Charles, IL 60174 • United States

1600 E. Main St., St. Charles, IL 60174 • United States

Saint Charles, IL • United States

1400 16Th St, Oak Brook, IL 60523 • 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 Bank Woodridge IL 11/2006 Present
Fifth Third Securities Woodridge IL 12/2006 Present
  • 11/2006 → Present
    Fifth Third Bank
    Woodridge, IL
  • 12/2006 → Present
    Fifth Third Securities
    Woodridge, IL
Previous Registrations
Other Businesses

Time-share rental - 2101 North Epcot Resorts Blvd, Unit 44B, Orlando, FL 32830 - landlord - nominal hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm ---------------------------------------------------------- Time-share rental - 3701 Osceola Pkwy, Unit 39, Bay Lake, FL 32830- landlord - nominal hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm ---------------------------------------------------------- Time-share rental - 4401 Floridian Way, Unit 4A, Lake Buena Vista, FL 32830 - landlord - nominal hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm ---------------------------------------------------------- Time-share rental - 901 Timberline Dr, Unit 1E, Lake Buena Vista, FL 32830 - landlord - nominal hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm ---------------------------------------------------------- Time-share rental - 22 Harbourside Ln, Unit 3D, Hilton Head Island, SC 29928 - landlord - nominal hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-20
  • S66 Uniform Combined State Law Examination
    2004-09-20
Designations
  • Certified Financial Planner

View on SEC IAPD

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