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Fifth Third Securities, Inc. CRD 628
$10.9B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-07-17 |
Branch Locations
5330 Sunset Road, Charlotte, NC 28269 • United States
717 S Kings Drive, Charlotte, NC 28204 • United States
975 S Point Rd, Belmont, NC 28012 • United States
7471 E Cross Drive, Denver, NC 28037 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Bank | Denver | NC | 05/2018 | Present |
| Pnc Bank | Gastonia | NC | 05/2015 | 05/2018 |
| Fifth Third Securities | Denver | NC | 05/2022 | 09/2022 |
| Fifth Third Securities | Denver | NC | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-07-17 |
| S63 | Uniform Securities Agent State Law Examination | 2024-03-12 |
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