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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 2017-02-28
  • MI RA
    APPROVED
    Since 2017-02-28

Branch Locations

3500 Market Place Circle Ste C, Traverse City, MI 49684 • United States

2425 Holiday Hills, Traverse City, MI 49686 • 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 Traverse City MI 03/2003 Present
Fifth Third Securities Traverse City MI 02/2007 Present
  • 03/2003 → Present
    Fifth Third Bank
    Traverse City, MI
  • 02/2007 → Present
    Fifth Third Securities
    Traverse City, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-02-28
S63 Uniform Securities Agent State Law Examination 2007-07-18
  • S65 Uniform Investment Adviser Law Examination
    2017-02-28
  • S63 Uniform Securities Agent State Law Examination
    2007-07-18

View on SEC IAPD

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