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Current Employers
Fifth Third Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-07-17
IL RA APPROVED 2017-12-04
  • TX RA
    APPROVED_RES
    Since 2020-07-17
  • IL RA
    APPROVED
    Since 2017-12-04

Branch Locations

1296 Rickert Drive, Naperville, IL 60540 • United States

2644 Showplace Dr., Naperville, IL 60564 • 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 Chicago IL 06/2009 Present
  • 06/2009 → Present
    Fifth Third Securities
    Chicago, IL
Previous Registrations
  • 2006-09-06 → 2009-06-08
    Bmo Harris Financial Advisors, Inc.
    Chicago, IL
  • 2002-09-11 → 2006-07-21
    Oak Brook, IL
    Oak Brook, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-10
S63 Uniform Securities Agent State Law Examination 1992-05-12
  • S66 Uniform Combined State Law Examination
    2002-09-10
  • S63 Uniform Securities Agent State Law Examination
    1992-05-12

View on SEC IAPD

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