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Michael Shane Steffen

Fifth Third Securities, Inc.

Cincinnati, OH

Cincinnati, OH

Batavia, OH

Cincinnati, OH

Cincinnati, OH

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Current Employers
Fifth Third Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2023-10-26
OH RA APPROVED 2023-04-03
KY RA APPROVED 2011-05-02
  • IN RA
    APPROVED
    Since 2023-10-26
  • OH RA
    APPROVED
    Since 2023-04-03
  • KY RA
    APPROVED
    Since 2011-05-02

Branch Locations

7708 Montgomery Road, Cincinnati, OH 45236 • United States

3539 Reading Rd Ste 104, Cincinnati, OH 45229 • United States

380 Main Street, Batavia, OH 45103 • United States

2094 Beechmont Avenue, Cincinnati, OH 45230 • United States

5717 Madison Rd., Cincinnati, OH 45227 • 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 Bevis OH 01/2011 Present
Fifth Third Securities Florence KY 04/2011 Present
  • 01/2011 → Present
    Fifth Third Bank
    Bevis, OH
  • 04/2011 → Present
    Fifth Third Securities
    Florence, KY
Previous Registrations
  • 2009-10-21 → 2010-12-21
    Td Ameritrade, Inc.
    West Palm Beach, FL
  • 2009-11-19 → 2010-12-21
    Td Ameritrade Investment Management, Llc
    West Palm Beach, FL
  • 2008-03-28 → 2009-09-21
    Strategic Advisers Llc
    Boca Raton, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-03-26
S63 Uniform Securities Agent State Law Examination 2005-11-03
  • S65 Uniform Investment Adviser Law Examination
    2008-03-26
  • S63 Uniform Securities Agent State Law Examination
    2005-11-03
Other Names
  • Michael S Steffen

View on SEC IAPD

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Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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