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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 2026-08-13
  • TX RA
    APPROVED
    Since 2026-08-13

Branch Locations

6803 Fm 1960 Rd E, Humble, TX 77450 • United States

16211 Space Center Blvd, Houston, TX 77062 • United States

8450 Fm 1960 Bypass Rd W, Humble, TX 77338 • United States

203 S Friendswood Drive, Friendswood, TX 77083 • 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
J.P. Morgan Securities Llc Kingwood TX 10/2012 04/2021
Jp Morgan Chase Bank, N.A. Kingwood TX 08/2014 04/2021
Harris-Waller Counties Municipal Utility District #3 Katy TX 11/2013 12/2020
Edward Jones St. Louis MO 04/2021 01/2024
Frost Brokerage Services, Inc. Kingwood TX 01/2024 08/2026
Fifth Third Bank Houston TX 08/2026 Present
Fifth Third Securities Houston TX 08/2026 Present
  • 10/2012 → 04/2021
    Kingwood, TX
  • 08/2014 → 04/2021
    Jp Morgan Chase Bank, N.A.
    Kingwood, TX
  • 11/2013 → 12/2020
    Harris-Waller Counties Municipal Utility District #3
    Katy, TX
  • 04/2021 → 01/2024
    St. Louis, MO
  • 01/2024 → 08/2026
    Frost Brokerage Services, Inc.
    Kingwood, TX
  • 08/2026 → Present
    Fifth Third Bank
    Houston, TX
  • 08/2026 → Present
    Fifth Third Securities
    Houston, TX
Previous Registrations
  • 2024-01-25 → 2026-08-07
    San Antonio, TX
    Kingwood, TX
  • 2021-04-30 → 2024-01-23
    Kingwood, TX
    Kingwood, TX
  • 2012-10-01 → 2021-04-29
    Pasadena, TX
    Kingwood, TX
    New Caney, TX
  • 2012-07-23 → 2012-10-01
    Chase Investment Services Corp.
    Pasadena, TX
  • 2008-07-25 → 2012-07-12
    Porter, TX
    St Louis, MO
    New Caney, TX
    Kingwood, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-07-22
S63 Uniform Securities Agent State Law Examination 2006-07-27
  • S66 Uniform Combined State Law Examination
    2008-07-22
  • S63 Uniform Securities Agent State Law Examination
    2006-07-27
Other Names
  • Dana Finnell
  • Dana Renee Thompson
  • Dana Renee Smith
  • Dana Renee O'TOole

View on SEC IAPD

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