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Employer firm

Fifth Third Securities, Inc. CRD 628

$10.9B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • SPONSOR WRAP FEE PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Fifth Third Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2016-10-26
  • OH RA
    APPROVED
    Since 2016-10-26

Branch Locations

30 West Bridge Street, Berea, OH 44017 • United States

6809 West 130Th, Parma Heights, OH 44130 • United States

6953 Ridge Road, Parma, OH 44129 • 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 Berea OH 06/1997 Present
Fifth Third Securities Berea OH 10/2005 Present
  • 06/1997 → Present
    Fifth Third Bank
    Berea, OH
  • 10/2005 → Present
    Fifth Third Securities
    Berea, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-10-29
S63 Uniform Securities Agent State Law Examination 2008-03-04
  • S65 Uniform Investment Adviser Law Examination
    2016-10-29
  • S63 Uniform Securities Agent State Law Examination
    2008-03-04

View on SEC IAPD

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