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Current Employers
Fifth Third Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2025-10-22
OH RA APPROVED 2017-09-12
  • RI RA
    APPROVED
    Since 2025-10-22
  • OH RA
    APPROVED
    Since 2017-09-12

Branch Locations

790 Gardner Rd., Springboro, OH 45066 • United States

1325 East Second Street, Franklin, OH 45005 • 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 Springboro OH 12/2000 Present
Fifth Third Securities Springboro OH 04/2013 Present
  • 12/2000 → Present
    Fifth Third Bank
    Springboro, OH
  • 04/2013 → Present
    Fifth Third Securities
    Springboro, OH
Other Businesses

Church of God - Anderson, Indiana, 46018 - ministry - ordained minister - 40 hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm ------------------------------------------------------------- Smittys Camper Sales LLC - 4131 S. Dixie Hwy, Franklin, Ohio 45005 - mobile home park - manager - 7 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-10-21
S63 Uniform Securities Agent State Law Examination 2013-06-29
  • S65 Uniform Investment Adviser Law Examination
    2017-10-21
  • S63 Uniform Securities Agent State Law Examination
    2013-06-29
Other Names
  • Charles Richard Smith
  • Richie Smith

View on SEC IAPD

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