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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 |
|---|---|---|---|
| OH | RA | APPROVED | 2024-08-15 |
Branch Locations
Fort Mitchell, KY • United States
5001 Kingsley Drive, Cincinnati, OH 45263 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Cincinnati | OH | 08/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Cincinnati | OH | 11/2016 | 04/2022 |
| Ameriprise Financial Services Llc | Cincinnati | OH | 04/2022 | 11/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 11/2022 | 08/2024 |
| University Of Cincinnati | Cincinnati | OH | 08/2018 | 05/2022 |
| Gateway Community And Technical College | Florence | KY | 08/2016 | 05/2018 |
| Bank Of America, N.A. | Cincinnati | OH | 01/2023 | 08/2024 |
| Fifth Third Bank | Cincinnati | OH | 08/2024 | Present |
| Fifth Third Securities | Cincinnati | OH | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-07-20 |
| S63 | Uniform Securities Agent State Law Examination | 2011-11-21 |
| S65 | Uniform Investment Adviser Law Examination | 2007-09-28 |
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