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CRD 6123279
Fifth Third Securities, Inc. CRD 628
$10.9B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2024-02-12 |
Branch Locations
2450 Nashville Rd, Bowling Green, KY 42101 • United States
1501 West Broadway, Louisville, KY 40203 • United States
2925 Scottsville Rd, Bowling Green, KY 42104 • United States
8003 Preston Highway, Louisville, KY 40219 • United States
3901 Dixie Highway, Louisville, KY 40216 • United States
6900 Bardstown Rd., Louisville, KY 40291 • United States
9711 Dixie Highway, Louisville, KY 40272 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Bank | Louisville | KY | 10/2013 | 01/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Louisville | KY | 01/2019 | 09/2019 |
| Raymond James Financial Services, Inc | Louisville | KY | 09/2019 | 05/2020 |
| Stock Yards Bank | Louisville | KY | 09/2019 | 05/2020 |
| Fidelity Investments | Louisville | KY | 05/2020 | 02/2024 |
| Fifth Third Securities | Louisville | KY | 02/2024 | Present |
| Fifth Third Bank | Louisville | KY | 02/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 2015-09-29 |
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