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Preeti Gupta

Fifth Third Securities, Inc.

Buffalo Grove, IL

CRD 8227910

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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 2026-08-05
  • IL RA
    APPROVED
    Since 2026-08-05

Branch Locations

345 W Dundee, Buffalo Grove, IL 60089 • 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 Buffalo Grove IL 11/2022 Present
Unemployed Buffalo Grove IL 07/2011 10/2022
Fifth Third Securities Buffalo Grove IL 02/2026 Present
  • 11/2022 → Present
    Fifth Third Bank
    Buffalo Grove, IL
  • 07/2011 → 10/2022
    Unemployed
    Buffalo Grove, IL
  • 02/2026 → Present
    Fifth Third Securities
    Buffalo Grove, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-08-05
S63 Uniform Securities Agent State Law Examination 2026-05-02
  • S65 Uniform Investment Adviser Law Examination
    2026-08-05
  • S63 Uniform Securities Agent State Law Examination
    2026-05-02

View on SEC IAPD

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