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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 2007-07-19
  • OH RA
    APPROVED
    Since 2007-07-19

Branch Locations

201 N. Tryon Street, Charlotte, NC 28202 • United States

911 Graham Road, Cuyahoga Falls, OH 44221 • United States

Vienna, 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 Securities Tallmadge OH 07/2007 Present
  • 07/2007 → Present
    Fifth Third Securities
    Tallmadge, OH
Previous Registrations
  • 2007-06-22 → 2007-07-06
    Chase Investment Services Corp.
    Chicago, IL
    Warren, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-18
S63 Uniform Securities Agent State Law Examination 1991-04-29
  • S66 Uniform Combined State Law Examination
    2007-06-18
  • S63 Uniform Securities Agent State Law Examination
    1991-04-29
Other Names
  • Sandra Lynn Stack
  • Sandra Lynn Stortz
  • Sandra Potjunas
  • Sandra Lynn Potjunas

View on SEC IAPD

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