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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
FL RA APPROVED 2008-03-05
OH RA APPROVED 2007-02-05
  • FL RA
    APPROVED
    Since 2008-03-05
  • OH RA
    APPROVED
    Since 2007-02-05

Branch Locations

1637 N. Main Street, North Canton, OH 44720 • United States

3150 S. Arlington Rd., Akron, OH 44312 • United States

4653 Tuscarawas Street, Perry Township, OH 44708 • United States

5067 Portage Street, North Canton, OH 44720 • 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 Cuyhoga Falls OH 01/2005 Present
Fifth Third Securities Cuyhoga Falls OH 07/2005 Present
  • 01/2005 → Present
    Fifth Third Bank
    Cuyhoga Falls, OH
  • 07/2005 → Present
    Fifth Third Securities
    Cuyhoga Falls, OH
Other Businesses

R. S. PLENT LTD - NOT INVESTMENT-RELATED - 4817 PARWICH CIR NE, CANTON,OH 44705 - RENTAL PROPERTIES - OWNER - 5 HRS/MONTH - WILL NOT INTERFERE WITH DUTIES AT FIRM - MAINTAIN THE PROPERTY AND COLLECT RENT FOR MULTIPLE RENTAL PROPERTIES ----------------------------- PLENT PROPERTY MANAGEMENT, LTD - NOT INVESTMENT-RELATED - 3232 S MAIN ST, AKRON, OH 44319 - RENTAL PROPERTIES - OWNER - 2 HRS/MONTH - WILL NOT INTERFERE WITH DUTIES AT FIRM - COLLECT RENT AND FILL VACANT UNITS ------------------------------- Rental property - North Beaton, OH - owner/landlord - 2 hrs/mo (0 during trade hrs) - not investment related - will not interfere with duties at firm ------------------------------------------------------------------------------- Plent Farm - Canton, OH - co-owner - nominal hrs/mo (0 during trade hrs) - not investment related - will not interfere with duties at firm -------------------------------------------------------------------------------- Plent Holdings DBA Clothes Line Laundromat - 205 Great Oaks Trail, Wadsworth, OH 44281 - laundry (2) - owner - 1 hr/mo (0 during trade hrs) - not investment related - will not interfere with duties at firm -------------------------------------------------------------------------------- Plent Property Holdings Ltd - Akron, OH - owner - commercial real estate holding - nominal hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm -------------------------------------------------------------------------------- Plent Equipment, Ltd - Canton, OH - equipment lessee - owner - 2 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at form ------------------------------------------------------------------------------- Plent Hardscapes and Design, Ltd - Canton, OH - hardscape design & installation - owner - 4 hrs/mo (2 mkt hrs) - not securities related - will not interfere with duties at firm

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-15
  • S66 Uniform Combined State Law Examination
    2006-12-15
Designations
  • Certified Financial Planner

View on SEC IAPD

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