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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 2019-11-07
  • OH RA
    APPROVED
    Since 2019-11-07

Branch Locations

Grand Blanc, MI • United States

Mayfield Heights, OH • 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 Cleveland OH 07/2019 Present
Jpm Chase Cleveland OH 06/2013 07/2019
Fifth Third Securities Cleveland OH 07/2019 Present
  • 07/2019 → Present
    Fifth Third Bank
    Cleveland, OH
  • 06/2013 → 07/2019
    Jpm Chase
    Cleveland, OH
  • 07/2019 → Present
    Fifth Third Securities
    Cleveland, OH
Other Businesses

Seemray LLC - Mayfield Heights, OH 44124 - Window sales - admin - 10 hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm -------------------------------------------------------------------------------- Argo, Inc. - Mayfield Heights, OH 44124 - construction supply sales - admin - 10 hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-07
  • S66 Uniform Combined State Law Examination
    2019-11-07
Other Names
  • Stella Kenigfest

View on SEC IAPD

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