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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
CO RA APPROVED 2025-01-31
OH RA APPROVED 2022-08-21
  • CO RA
    APPROVED
    Since 2025-01-31
  • OH RA
    APPROVED
    Since 2022-08-21

Branch Locations

Bethel, OH • United States

1603 Springfield Pike, Cincinnati, OH 45215 • 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 Cincinnati OH 12/2017 Present
Rue 21 Cincinnati OH 08/2015 10/2017
Torrid Cincinnati OH 09/2017 02/2018
Oak Hills High School Cincinnati OH 08/2013 06/2017
Cincinnati State Technical And Community College Cincinnati OH 01/2018 05/2019
Fifth Third Securities Cincinnati OH 02/2022 Present
  • 12/2017 → Present
    Fifth Third Bank
    Cincinnati, OH
  • 08/2015 → 10/2017
    Rue 21
    Cincinnati, OH
  • 09/2017 → 02/2018
    Torrid
    Cincinnati, OH
  • 08/2013 → 06/2017
    Oak Hills High School
    Cincinnati, OH
  • 01/2018 → 05/2019
    Cincinnati State Technical And Community College
    Cincinnati, OH
  • 02/2022 → Present
    Fifth Third Securities
    Cincinnati, OH
Other Businesses

Notary Public - BETHEL OH 45106 - witness signatures/Administer oaths - nominal hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-08-19
S63 Uniform Securities Agent State Law Examination 2022-07-01
  • S65 Uniform Investment Adviser Law Examination
    2022-08-19
  • S63 Uniform Securities Agent State Law Examination
    2022-07-01

View on SEC IAPD

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