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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
OH RA APPROVED 2015-11-24
  • OH RA
    APPROVED
    Since 2015-11-24

Branch Locations

8975 Lakota Drive West, West Chester, OH 45069 • United States

8584 Princeton-Glendale Rd., West Chester, OH 45069 • United States

9477 Kenwood Rd. Suite 210, Cincinnati, OH 45242 • 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 Lebanon OH 01/2009 Present
Fifth Third Securities Lebanon OH 07/2011 Present
  • 01/2009 → Present
    Fifth Third Bank
    Lebanon, OH
  • 07/2011 → Present
    Fifth Third Securities
    Lebanon, OH
Other Businesses

User Interviews - 25 First St. #303, Cambridge, MA 02141 - consumer research - product reviewer - 4 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm --------------------------------------------------------------------------------- ELC Consulting - Lebanon, OH 45036 - construction consulting - signor - nominal hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-12-04
S63 Uniform Securities Agent State Law Examination 2011-09-14
  • S65 Uniform Investment Adviser Law Examination
    2015-12-04
  • S63 Uniform Securities Agent State Law Examination
    2011-09-14
Other Names
  • Susan Faye Iceman
  • Susan Faye Iceman

View on SEC IAPD

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