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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
IL RA APPROVED 2022-12-07
  • IL RA
    APPROVED
    Since 2022-12-07

Branch Locations

265 Virginia Street, Crystal Lake, IL 60014 • 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
Jpmorgan Chase Bank Na Lake Bluff IL 09/2009 12/2022
J.P. Morgan Securities Llc Libertyville IL 10/2012 12/2022
Fifth Third Bank Chicago IL 12/2022 Present
Fifth Third Securities Chicago IL 12/2022 Present
  • 09/2009 → 12/2022
    Jpmorgan Chase Bank Na
    Lake Bluff, IL
  • 10/2012 → 12/2022
    Libertyville, IL
  • 12/2022 → Present
    Fifth Third Bank
    Chicago, IL
  • 12/2022 → Present
    Fifth Third Securities
    Chicago, IL
Previous Registrations
  • 2014-01-02 → 2022-12-06
    Vernon Hills, IL
    Lindenhurst, IL
    Antioch, IL
    Antioch, IL
    Deerfield, IL
    Wauconda, IL
    Round Lake Beach, IL
    Winnetka, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-30
S63 Uniform Securities Agent State Law Examination 2009-10-16
  • S66 Uniform Combined State Law Examination
    2013-12-30
  • S63 Uniform Securities Agent State Law Examination
    2009-10-16

View on SEC IAPD

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