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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 2024-09-13
OH RA APPROVED 2021-03-03
  • MI RA
    APPROVED
    Since 2024-09-13
  • OH RA
    APPROVED
    Since 2021-03-03

Branch Locations

6600 Airport Highway, Holland, OH 43528-8419 • United States

3428 Glendale, Toledo, OH 43614 • 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 Perrysburg OH 01/2019 Present
Ohio University Athens OH 08/2015 12/2018
Ohio University Athens OH 01/2010 12/2018
Fifth Third Securities Perysburg OH 07/2020 Present
  • 01/2019 → Present
    Fifth Third Bank
    Perrysburg, OH
  • 08/2015 → 12/2018
    Ohio University
    Athens, OH
  • 01/2010 → 12/2018
    Ohio University
    Athens, OH
  • 07/2020 → Present
    Fifth Third Securities
    Perysburg, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-08
S63 Uniform Securities Agent State Law Examination 2021-01-22
  • S65 Uniform Investment Adviser Law Examination
    2021-03-08
  • S63 Uniform Securities Agent State Law Examination
    2021-01-22
Other Names
  • Darci Schroeder
  • Darci M Schroeder

View on SEC IAPD

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