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Current Employers
Fifth Third Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2014-06-03
  • KY RA
    APPROVED
    Since 2014-06-03

Branch Locations

2051 Pleasant Ridge Drive, Lexington, KY 40509 • United States

3350 Lexington Road, Paris, KY 40361 • United States

Somerset, KY • United States

8100 Burlington Pike, Florence, KY 41042 • 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 Securities Lexington KY 05/2014 Present
  • 05/2014 → Present
    Fifth Third Securities
    Lexington, KY
Previous Registrations
Other Businesses

Ebay - Somerset, KY 42503 - online re-sales - logistical assistance - 2 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-01-06
S63 Uniform Securities Agent State Law Examination 2005-07-14
  • S65 Uniform Investment Adviser Law Examination
    2006-01-06
  • S63 Uniform Securities Agent State Law Examination
    2005-07-14
Designations

View on SEC IAPD

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