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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 2016-11-22
  • IN RA
    APPROVED
    Since 2016-11-22

Branch Locations

205 East Carmel Drive, Carmel, IN 46032 • United States

3443 East State Road 32, Westfield, IN 46074 • 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 Avon IN 05/2006 Present
Fifth Third Securities Avon IN 07/2013 Present
  • 05/2006 → Present
    Fifth Third Bank
    Avon, IN
  • 07/2013 → Present
    Fifth Third Securities
    Avon, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-11-22
S63 Uniform Securities Agent State Law Examination 2013-12-23
  • S65 Uniform Investment Adviser Law Examination
    2016-11-22
  • S63 Uniform Securities Agent State Law Examination
    2013-12-23

View on SEC IAPD

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