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Current Employers
Fifth Third Wealth Advisors Llc

38 Fountain Square Plaza, Cincinnati, OH 45263 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-01-03
NY RA APPROVED 2023-07-19
  • TX RA
    APPROVED
    Since 2024-01-03
  • NY RA
    APPROVED
    Since 2023-07-19

Branch Locations

Cornwall, NY • United States

38 Fountain Square Plaza, Cincinnati, OH 45263 • 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 Wealth Advisors Tarrytown NY 07/2023 Present
Bny Mellon White Plains NY 06/1990 07/2023
  • 07/2023 → Present
    Fifth Third Wealth Advisors
    Tarrytown, NY
  • 06/1990 → 07/2023
    Bny Mellon
    White Plains, NY
Other Businesses

Trustee of Hudson highlands Nature Museum (not for profit) at 120 muser drive cornwall, NY 12518. Non investment related, a nature based education program. Started Jan 2022. Up to about 6 hours a month. Board and committee (development, finance) meetings, event participation.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-07-19
  • S65 Uniform Investment Adviser Law Examination
    2023-07-19

View on SEC IAPD

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