FIFTH THIRD SECURITIES, INC.
Latest filing: May 21, 2025 (61 days ago)
AUM
$9,127,646,064
14% change vs. 1 year ago
3% change vs. 3 years ago
492% change vs. 5 years ago
1071% change vs. 10 years ago
Employee Count
1,349
10% change vs. 1 year ago
8% change vs. 3 years ago
-14% change vs. 5 years ago
-13% change vs. 10 years ago
Main Office
CINCINNATI, OH
34 FOUNTAIN SQUARE PLAZA, CINCINNATI, OH, UNITED STATES, 45263
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $9.1 |
| Non-Discretionary | $0.0 |
| Total | $9.1 |
| Client | AUM |
|---|---|
| Retail | $8.9 |
| Pooled | $0.0 |
| Institutional | $0.2 |
| Total | $9.1 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 40,945 | $7.2 |
| Average Individual AUM | $174,687 | |
| HNW | 1,417 | $1.8 |
| Average HNW AUM | $1,240,136 | |
| Retail Total | 42,362 | $8.9 |
| Average Retail AUM | $210,326 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $8.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $9.1 |
| Retail SMA AUM | $8.9 |
| Institutional SMA AUM | $0.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 63% | $5.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 34% | $3.1 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $0.3 |
| Other | 0% | $0.0 |
| Total | 100% | $9.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FIFTH THIRD WEALTH ADVISORS LLC | $6.1 | 313015 | |
| FRANKLIN STREET ADVISORS, INC. | $3.9 | 106275 | |
| FIFTH THIRD BANK | $0.0 | trust company | - |
| FIFTH THIRD INSURANCE AGENCY, INC. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
12 active
| Name | Title |
|---|---|
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING |
ADVDB.CO • SOURCE: SEC
Representatives
824 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| CHRISTOPHER SAMPLEY | CINCINNATI | OH | S66|2022-05-25 | ||||||
| MATTHEW HOSKEN | CINCINNATI | OH | S63|2021-01-22|S65|2021-03-08 | ||||||
| ZACH MCDONALD | CINCINNATI | OH | S63|2022-05-13|S65|2022-07-01 | ||||||
| LARRY SWEET | CINCINNATI | OH | S63|2006-01-19|S65|2016-05-24 | ||||||
| DAVID NEWMAN | CINCINNATI | OH | S63|1998-09-14|S66|2007-12-10 | ||||||
| ERIN SHAFER | CINCINNATI | OH | S63|2008-11-26|S66|2011-02-14 | ||||||
| STACY BOSCH | CINCINNATI | OH | S63|2002-08-23|S66|2011-06-14 | ||||||
| ANTOINETTA FREEMAN | CINCINNATI | OH | S66|2017-10-19 | ||||||
| CHRISTOPHER LAGO | CINCINNATI | OH | S63|2014-05-03|S66|2015-12-10 | CERTIFIED FINANCIAL PLANNER | |||||
| ANDREW KELLEY | CINCINNATI | OH | S66|2016-07-18 | ||||||
| ADAM BAKER | CINCINNATI | OH | S66|2013-01-04 | ||||||
| JAIME PYLES | CINCINNATI | OH | S66|2012-05-30 | ||||||
| JEANNE GRILL | CINCINNATI | OH | S63|1994-03-02|S66|2006-06-15 | ||||||
| MAJA BARIC | CINCINNATI | OH | S65|2018-06-13|S63|2015-09-12 | ||||||
| ALEXANDER WOODWORTH | CINCINNATI | OH | S65|2021-10-22|S63|2021-09-01 | ||||||
| JACQUELINE WILLIAMS | CINCINNATI | OH | S66|2015-08-13|S63|2014-07-03 | ||||||
| CYNTHIA SHEARER | CINCINNATI | OH | S66|2022-07-15 | ||||||
| KENNETH HEIDELBERGER | CINCINNATI | OH | S63|2007-03-19|S65|2009-04-13 | ||||||
| MARGARET PETERSEN | CINCINNATI | OH | S63|2020-02-18|S66|2020-07-24 | ||||||
| ERIC HOLZWARTH | CINCINNATI | OH | S65|2016-12-07|S63|2014-08-11 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $9.1 | $0.0 | 0% | 1,349 | 0 | 0% |
| 2025-04-21 | $9.1 | $0.0 | 0% | 1,349 | 0 | 0% |
| 2024-04-02 | $8.0 | $1.1 | 14% | 1,228 | 121 | 10% |
| 2023-04-04 | $7.3 | $1.8 | 25% | 1,205 | 144 | 12% |
| 2022-04-01 | $8.9 | $0.3 | 3% | 1,247 | 102 | 8% |
| 2021-04-05 | $1.9 | $7.2 | 384% | 1,500 | -151 | -10% |
| 2020-04-01 | $1.5 | $7.6 | 492% | 1,563 | -214 | -14% |
| 2019-04-01 | $1.0 | $8.1 | 806% | 1,333 | 16 | 1% |
| 2018-04-02 | $1.0 | $8.1 | 806% | 1,333 | 16 | 1% |
| 2017-04-01 | $0.9 | $8.2 | 928% | 1,403 | -54 | -4% |
| 2016-04-01 | $0.8 | $8.3 | 1023% | 1,525 | -176 | -12% |
| 2015-04-01 | $0.8 | $8.3 | 1071% | 1,552 | -203 | -13% |
| 2014-04-01 | $0.6 | $8.5 | 1414% | 1,517 | -168 | -11% |
| 2013-04-01 | $0.4 | $8.8 | 2328% | 1,550 | -201 | -13% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| OH, AK-01/20/2006, AL-01/19/2006, AR-01/23/2006, AZ-01/19/2006, CA-01/19/2006, CO-01/19/2006, CT-01/19/2006, DC-01/19/2006, DE-01/23/2006, FL-11/17/2004, GA-01/19/2006, HI-01/19/2006, IA-01/19/2006, ID-01/19/2006, IL-11/17/2004, IN-11/17/2004, KS-01/19/2006, KY-11/17/2004, LA-01/19/2006, MA-01/19/2006, MD-11/17/2004, ME-01/19/2006, MI-11/17/2004, MN-01/24/2006, MO-01/19/2006, MS-01/19/2006, MT-01/19/2006, NC-01/19/2006, ND-01/19/2006, NE-01/19/2006, NH-01/19/2006, NJ-03/07/2006, NM-01/19/2006, NV-01/19/2006, NY-01/19/2006, OH-11/17/2004, OK-01/19/2006, OR-01/19/2006, PA-07/29/2005, PR-01/19/2006, RI-01/19/2006, SC-01/19/2006, SD-01/23/2006, TN-02/24/2005, TX-11/17/2004, UT-01/19/2006, VA-01/19/2006, VT-01/19/2006, WA-01/19/2006, WI-01/19/2006, WV-01/19/2006, WY-03/31/2021 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT MUNICIPAL ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV