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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 2004-11-22
  • OH RA
    APPROVED
    Since 2004-11-22

Branch Locations

225 West Main Street, Mason, OH 45040 • United States

3131 Princeton Rd, Hamilton, OH 45011 • 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 06/1991 Present
Other Businesses

Papoose on our Porch LLC - NOT INVESTMENT RELATED - 823 CONGRESS AVENUE SUITE 700, AUSTIN, TX 78701 - REAL ESTATE - OWNER - 0 HRS/MONTH - WILL NOT INTERFERE WITH DUTIES AT FIRM - NO ACTIVE DUTIES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-16
S63 Uniform Securities Agent State Law Examination 1993-06-25
  • S65 Uniform Investment Adviser Law Examination
    1998-03-16
  • S63 Uniform Securities Agent State Law Examination
    1993-06-25
Designations

View on SEC IAPD

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