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Fifth Third Securities, Inc.

Fifth Third Securities, Inc.
Fifth Third Securities, Inc. is a Broker-Dealer with over 1,581 financial professionals registered nationwide. The firm's primary clients are Individuals, High Net Worth Individuals and Pension and Profit Sharing Plans.

Firm Information

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Advisors (1,581)

Name Start Date
Rodney Michael Kramp Feb 2005
Nathaniel Maldonado May 2013
Scott Allen Wagner Mar 2014
Priscilla D Moore Jun 2015
Raanan Yoav Pritzker Sep 2011
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

$779.2M
Total Assets
4K
Accounts
$178.7K
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

  •   Fifth Third Bancorp (75% or more)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

Name Title Tenure Date
Howard Hammond Managing Director 01/01/2007
Justin Michael Overmann Director, Brokerage Operations 05/01/2011
Jarrett Andrew Jacobs Bd Chief Compliance Officer/Ria Chief Compliance Officer 03/01/2013
Ginger Michelle Kelly Director, Administrative Officer - Retail 03/01/2011
Robert Franklin Marcus Head of Capital Markets 04/01/2012

Affiliated Investment Advisors and Broker Dealers

Name Type Total Assets
Cleararc Capital
Fifth Third Bancorp
Fifth Third Bank-Michigan
Fifth Third Bank-Ohio
Fifth Third Insurance Agency, Inc.

Principal Office & Place of Business

Principal Office

Address:
34 Fountain Square Plaza
Cincinnati , OH 45263
Phone Number: 888-889-1025
Other Offices Address City State Zip
38 Fountain Square Plaza, Md 10At42 Cincinnati OH 45263
38 Fountain Square Cincinnati OH 45263
34 Fountain Square Plaza Cincinnati OH 45263
34 Fountain Square Plazamd 10At5G Cincinnati OH 45202

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets