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Neil A Cate

Fifth Third Securities, Inc.

Fairfield, OH

Cincinnati, OH

Fairfield, OH

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Current Employers
Fifth Third Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2024-01-22
IN RA APPROVED 2022-09-14
OH RA APPROVED 2020-03-06
  • MI RA
    APPROVED
    Since 2024-01-22
  • IN RA
    APPROVED
    Since 2022-09-14
  • OH RA
    APPROVED
    Since 2020-03-06

Branch Locations

6120 South Gilmore Road Suite 206, Fairfield, OH 45014 • United States

1212 W Kemper Rd, Cincinnati, OH 45240 • United States

5440 Dixie Highway, Fairfield, OH 45014 • 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
Edward Jones St Louis MO 10/2017 10/2018
Esko Miamisburg OH 04/2011 10/2017
Fifth Third Bank Cincinnati OH 10/2018 Present
Fifth Third Securities Cincinnati OH 02/2020 Present
  • 10/2017 → 10/2018
    Edward Jones
    St Louis, MO
  • 04/2011 → 10/2017
    Esko
    Miamisburg, OH
  • 10/2018 → Present
    Fifth Third Bank
    Cincinnati, OH
  • 02/2020 → Present
    Fifth Third Securities
    Cincinnati, OH
Previous Registrations
  • 2018-02-06 → 2018-08-23
    Edward Jones
    Franklin, OH
    St Louis, MO
    Centerville, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-03
  • S66 Uniform Combined State Law Examination
    2018-02-03
Other Names
  • Neil Adam Cate

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · FAIRFIELD, OH
INTEGRITY ALLIANCE, LLC. · Fairfield, OH
STATE FARM INVESTMENT MANAGEMENT CORP. · FAIRFIELD, OH
STATE FARM INVESTMENT MANAGEMENT CORP. · Cincinnati, OH
PFS INVESTMENTS INC. · SPRINGDALE, OH
PFS INVESTMENTS INC. · SPRINGDALE, OH
STATE FARM INVESTMENT MANAGEMENT CORP. · Fairfield, OH
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Cincinnati, OH

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