FIFTH THIRD SECURITIES, INC. of CINCINNATI, OH is an SEC-registered investment adviser (CRD 628). Regulatory assets under management: $10.9B.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Other.
Showing 25 of 46 people.
| Name | Role | Location |
|---|---|---|
| Gregory Brett Andrew | AML OFFICER; CCO OF ADVISORY SERVICES | Austin, TX |
| Timothy Lyons | DIRECTOR, MANAGING DIRECTOR-TRADING | Northbrook, IL |
| Jarrett Andrew Jacobs | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | — |
| Justin Michael Overmann | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | — |
| Ginger Michelle Kelly | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | — |
| Robert Franklin Marcus | DIRECTOR, HEAD OF CAPITAL MARKETS | — |
| Christopher Scott Stratmoen | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | — |
| Robert Albert Corsarie | DIRECTOR, HEAD OF RETAIL BROKERAGE | — |
| James Paul Ludwick | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | — |
| Shannon Johnson Mobley | DIRECTOR, REGIONAL INVESTMENT MANAGER | — |
| MILLER KENNETH LARRY JR | DIRECTOR & CHIEF EXECUTIVE OFFICER | — |
| CHAPMAN JEFFREY STEWART | DIRECTOR | — |
| VOGTSBERGER MARTIN HENRY | DIRECTOR | — |
| CHAMBERS PHILLIP EDWARD | DIRECTOR & CHIEF EXECUTIVE OFFICER | — |
| ALEXANDER HOLLI JO | DIRECTOR; FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | — |
| CECILIO ROBERT MARC | DIRECTOR; MANAGER OF BROKERAGE OPERATIONS/CFO | — |
| PATEL MILAN RASHMIKANT | VICE PRESIDENT | — |
| GENTRY SHANDA SUSAN | RISK MANAGEMENT OFFICER | — |
| WASSON TIMOTHY D | CCO FIFTH THIRD SECURITIES; CHIEF COMPLIANCE OFFICER | — |
| WARTMAN TODD JEREMY | CROP | — |
| BREWER BRIAN SCOTT | SROP | — |
| DAFT JOSEPH STEPHEN | CCO OF ADVISORY SERVICES | — |
| THOMPSON BRANDI COLE | AML OFFICER | — |
| JACOBS JARRETT ANDREW | AML OFFICER/RIA CHIEF COMPLIANCE OFFICER; BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER; DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER (+2 more) | — |
| HAMMOND HOWARD | DIRECTOR, MANAGING DIRECTOR OF RETAIL; MANAGING DIRECTOR; MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-07-09 | regulatory | CFPB ALLEGED FOR A SINCE-DISCONTINUED PROGRAM OF FIFTH THIRD BANK THAT ITS AUTO LENDING BUSINESS PLACED COLLATERAL PROTECTION INSURANCE (CPI) ON CERTAIN AUTO LOANS. | Final | $5.0M |
| 2023-07-06 | regulatory | FROM AT LEAST JANUARY 2019, FIFTH THIRD SECURITIES EMPLOYEES SENT AND RECEIVED OFF-CHANNEL COMMUNICATIONS THAT RELATED TO THE BUSINESS OF THE BROKER-DEALER AND REGISTERED INVESTMENT ADVISER OPERATED BY FIFTH THIRD. RESPONDENT DID NOT MAINTAIN OR PRESERVE THE SUBSTANTIAL MAJORITY OF THESE WRITTEN COM… | Final | $8.0M |
| 2023-06-01 | regulatory | FAILURE TO COMPLY WITH EXCHANGE ACT RULE 15C2-12 WHEN PARTICIPATING AS A SOLE UNDERWRITER IN CERTAIN PRIMARY OFFERINGS OF MUNICIPAL SECURITIES. | Final | $200K |
| 2020-03-09 | regulatory | THE CONSUMER FINANCIAL PROTECTION BUREAU ("CFPB") ALLEGED VIOLATIONS OF THE CONSUMER FINANCIAL PROTECTION ACT, THE TRUTH IN LENDING ACT, AND TRUTH IN SAVINGS ACT. THE PARTIES AGREED TO THE ENTRY OF A STIPULATED FINAL JUDGMENT AND ORDER ON JULY 9, 2024 TO RESOLVE THIS MATTER, PURSUANT TO WHICH FIFTH… | Final | $15.0M |
| 2018-05-08 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, FIFTH THIRD SECURITIES, INC. ("FTS") CONSENTED TO THE FINDINGS THAT FTS FAILED TO FULLY COMPLY WITH AN UNDERTAKING FROM A PREVIOUS ACCEPTANCE WAIVER AND CONSENT ENTERED INTO WITH FINRA IN 2009. IN ADDITION, FTS MADE MATERIAL MISSTATEMENTS AND OMISSIONS IN A… | Final | $4.0M |
| 2016-04-14 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, FIFTH THIRD SECURITIES, INC. ("FTS") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT FTS DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A… | Final | — |
| 2015-09-28 | regulatory | THE CONSUMER FINANCIAL PROTECTION BUREAU (CFPB) HAS REVIEWED THE MARKETING AND ADMINISTRATION OF THE DEBT PROTECTION CREDIT CARD "ADD-ON" PRODUCT OF FIFTH THIRD BANK AND HAS IDENTIFIED VIOLATIONS OF SECTIONS 1031 AND 1036 OF THE CONSUMER FINANCIAL PROTECTION ACT OR 2010 (CFPA), 12 U.S.C. §§ SS31, SS… | Final | $500K |
| 2015-09-11 | regulatory | FROM MAY 1, 2009 TO APRIL 30, 2014, FIFTH THIRD SECURITIES, INC. FAILED TO APPLY SALES CHARGE DISCOUNTS TO CERTAIN CUSTOMERS' ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUSTS ("UITS") IN VIOLATION OF FINRA RULE 2010. IN ADDITION, FIFTH THIRD SECURITIES FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVI… | Final | $300K |
| 2015-08-24 | regulatory | THIS MATTER INVOLVED A VIOLATION OF AN ANTIFRAUD PROVISION OF THE FEDERAL SECURITIES LAWS IN CONNECTION WITH FIFTH THIRD SECURITIES, INC. UNDERWRITING OF A MUNICIPAL SECURITIES OFFERING. FIFTH THIRD SECURITIES, INC., A REGISTERED BROKER-DEALER, CONDUCTED INADEQUATE DUE DILIGENCE IN THE OFFERING AND… | Final | $20K |
| 2014-03-13 | regulatory | THE CONSUMER FINANCIAL PROTECTION BUREAU (CFPB) CONDUCTED A JOINT INVESTIGATION WITH THE CIVIL RIGHTS DIVISION OF THE DEPARTMENT OF JUSTICE (DOJ) OF THE INDIRECT AUTO LENDING ACTIVITIES OF FIFTH THIRD BANK AND FIFTH THIRD BANK'S COMPLIANCE WITH THE EQUAL CREDIT OPPORTUNITY ACT (ECOA), 15 U.S.C. §§ 1… | Final | — |