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Current Employers
Fifth Third Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2005-03-04
  • OH RA
    APPROVED
    Since 2005-03-04

Branch Locations

8801 Brecksville Road, Brecksville, OH 44141 • United States

7414 Broadview Road, Parma, OH 44134 • 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, Inc. Cincinnati OH 03/1999 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-03
S65 Uniform Investment Adviser Law Examination 1998-08-27
S63 Uniform Securities Agent State Law Examination 1991-04-22
  • S66 Uniform Combined State Law Examination
    2005-10-03
  • S65 Uniform Investment Adviser Law Examination
    1998-08-27
  • S63 Uniform Securities Agent State Law Examination
    1991-04-22
Other Names
  • Tony Seghy

View on SEC IAPD

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