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Current Employers
Fifth Third Securities, Inc.

34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2024-07-02
OH RA APPROVED 2015-06-19
  • IN RA
    APPROVED
    Since 2024-07-02
  • OH RA
    APPROVED
    Since 2015-06-19

Branch Locations

431 West Eads Parkway, Lawrenceburg, IN 47025 • 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
OrganizationCityStateFromTo
Fifth Third Bank Cincinnati OH 11/2010 Present
Fifth Third Securities Cincinnati OH 04/2011 Present
  • 11/2010 → Present
    Fifth Third Bank
    Cincinnati, OH
  • 04/2011 → Present
    Fifth Third Securities
    Cincinnati, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-07-06
S63 Uniform Securities Agent State Law Examination 2008-05-02
  • S65 Uniform Investment Adviser Law Examination
    2015-07-06
  • S63 Uniform Securities Agent State Law Examination
    2008-05-02

View on SEC IAPD

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