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Fifth Third Securities, Inc. CRD 628
$10.9B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
34 Fountain Square Plaza Md 1090Am, Cincinnati, OH 45263 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-09-28 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Raleigh | NC | 09/2009 | 07/2019 |
| Wells Fargo Advisors Llc | Raleigh | NC | 03/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Raleigh | NC | 11/2016 | 07/2019 |
| Unemployed | Raleigh | NC | 07/2019 | 01/2020 |
| Mary Wilson Insurance Agency | Raleigh | NC | 01/2020 | 05/2021 |
| State Farm Vp Management Corp | Raleigh | NC | 12/2020 | 05/2021 |
| Fifth Third Bank | Raleigh | NC | 05/2021 | Present |
| Fifth Third Securities | Raleigh | NC | 05/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-09-25 |
| S65 | Uniform Investment Adviser Law Examination | 2011-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 2011-04-26 |
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