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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 2004-11-18
  • IN RA
    APPROVED
    Since 2004-11-18

Branch Locations

13681 East 116Th Street, Fishers, IN 46037 • United States

16864 Clover Road, Noblesville, IN 46060 • 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 03/1999 Present
Other Businesses

Fall Creek Jr High - 12001 Olio Rd, Fishers, IN 46037 - boy's golf team - coach - 32 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-13
S63 Uniform Securities Agent State Law Examination 1996-03-13
  • S66 Uniform Combined State Law Examination
    2004-11-13
  • S63 Uniform Securities Agent State Law Examination
    1996-03-13
Other Names
  • James Willard

View on SEC IAPD

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