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Current Employers
Fifth Third Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2010-01-15
  • IL RA
    APPROVED
    Since 2010-01-15

Branch Locations

1801 Algonquin Road, Rolling Meadows, IL 60008 • United States

235 West Rand Road, Mount Prospect, IL 60056 • United States

845 Elmhurst Rd, Des Plaines, IL 60016 • United States

510 Metropolitan Way, Des Plaines, IL 60016 • United States

15 E Prospect Ave, Mount Prospect, IL 60056 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Fifth Third Securities Chicago IL 01/2010 Present
  • 01/2010 → Present
    Fifth Third Securities
    Chicago, IL
Previous Registrations
  • 2007-05-29 → 2010-01-27
    Chicago, IL
    Buffalo Grove, IL
  • 2002-06-25 → 2007-05-29
    Citicorp Investment Services
    Buffalo Grove, IL
    Buffalo Grove, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-08-02
S63 Uniform Securities Agent State Law Examination 1987-02-25
  • S65 Uniform Investment Adviser Law Examination
    1996-08-02
  • S63 Uniform Securities Agent State Law Examination
    1987-02-25
Designations

View on SEC IAPD

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