Fifth Third Securities, Inc.
SEC-registered
Insurance-Affiliated · Large ($10B–$100B)
CRD 628
· SEC file 801-63623
· Cincinnati, OH
· WWW.LINKEDIN.COM
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ADV data as of Jul 14, 2026
- Regulatory AUM
- $10.9B
- Discretionary
- $10.9B
- Clients
- 47,014
- Avg AUM / client
- $232K
- Accounts
- 47,014
- Employees
- 13,533
AUM over time
$337M
$10.9B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 14, 2026
Asset allocation (SMA assets by investment type)
as of Jul 14, 2026
Exchange-traded equities
$7.3B
67%
Registered investment companies (funds/ETFs)
$3.3B
30%
Cash & equivalents
$328M
3%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 44,361 | $8.2B | 74.8% |
| High net worth individuals | 1,938 | $2.5B | 22.9% |
| Pooled investment vehicles (non-investment companies) | 7 | $5.1M | 0.05% |
| Pension and profit sharing plans | 524 | $151M | 1.38% |
| Charitable organizations | 17 | $8.8M | 0.08% |
| Corporations and other businesses | 167 | $90.4M | 0.83% |
People (997)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jarrett Andrew Jacobs | Director, Bd Chief Compliance Officer/Ria Chief Compliance Officer | Jul 2006 (20y) | Less than 5% | |
| Kelly, Ginger Michelle | Director, Chief Administrative Officer Retail | Mar 2011 (15y) | Less than 5% | |
| Shannon Johnson Mobley | Director, Regional Investment Manager | Mar 2011 (15y) | Less than 5% | |
| Overmann, Justin Michael | Director, Principal Operations Officer | May 2011 (15y) | Less than 5% | |
| Marcus, Robert Franklin | Director, Head Of Capital Markets | Apr 2012 (14y) | Less than 5% | |
| James Paul Ludwick | Director, Executive Director Of Institutional Business | Dec 2012 (14y) | Less than 5% | |
| Stratmoen, Christopher Scott | Director, Principal Financial Officer | Oct 2018 (8y) | Less than 5% | |
| Robert Albert Corsarie | Director, Head Of Retail Brokerage | Jun 2020 (6y) | Less than 5% | |
| Lyons, Timothy | Director, Managing Director Trading | Mar 2023 (3y) | Less than 5% | |
| James Edison Willard | Registered representative | Nov 2004 (22y) | ||
| David Kent Selsor | Registered representative | Nov 2004 (22y) | ||
| Deborah Sue Cribbs | Registered representative | Nov 2004 (22y) | ||
| Denis Walter Moulton | Registered representative | Nov 2004 (22y) | ||
| Jacqueline Marie Wilson | Registered representative | Nov 2004 (22y) | ||
| Jeffrey Michael Myers | Registered representative | Nov 2004 (22y) | ||
| John Andrew Wile | Registered representative | Nov 2004 (22y) | ||
| Milan Rashmikant Patel | Registered representative | CFP | Nov 2004 (22y) | |
| Thomas Leaman Faris | Registered representative | Nov 2004 (22y) | ||
| Harold Eugene Taylor | Registered representative | Nov 2004 (22y) | ||
| J. Christopher Pettigrew | Registered representative | Nov 2004 (22y) | ||
| Alexander Scott Adams | Registered representative | CFP | Jan 2005 (22y) | |
| Richard Ross Tucker | Registered representative | Feb 2005 (22y) | ||
| Brian Thomas Werbrich | Registered representative | CFP | Feb 2005 (21y) | |
| Christopher Martin Hayes | Registered representative | Feb 2005 (21y) | ||
| Charles A Huff Jr. | Registered representative | Feb 2005 (21y) | ||
| Daniel Michael Vaughan | Registered representative | Feb 2005 (21y) | ||
| Darin Matthew Kershner | Registered representative | Feb 2005 (21y) | ||
| Edward Anthony Zimmer | Registered representative | CFP | Feb 2005 (21y) | |
| Eric G Haddad | Registered representative | Feb 2005 (21y) | ||
| Jeffrey John Jensen | Registered representative | Feb 2005 (21y) | ||
| Joseph Beswick | Registered representative | Feb 2005 (21y) | ||
| Joseph Fredric Nadeau | Registered representative | Feb 2005 (21y) | ||
| Kenneth M Spicer | Registered representative | Feb 2005 (21y) | ||
| Linda Ann Graham | Registered representative | Feb 2005 (21y) | ||
| Lisa Ann Gillen | Registered representative | Feb 2005 (21y) | ||
| Matthew Jay Mowchan | Registered representative | Feb 2005 (21y) | ||
| Stephen Charles Becker | Registered representative | Feb 2005 (21y) | ||
| Susan Anne Hacker | Registered representative | Feb 2005 (21y) | ||
| Lawrence Michael Kocisko | Registered representative | Feb 2005 (21y) | ||
| Steven Julian Truitt | Registered representative | Feb 2005 (21y) | ||
| Anthony Victor Seghy | Registered representative | Mar 2005 (21y) | ||
| John Thomas Edwards | Registered representative | Mar 2005 (21y) | ||
| Anupama Gupta Ortiz | Registered representative | Jun 2005 (21y) | ||
| Christine Anne Delbrocco | Registered representative | Jul 2005 (21y) | ||
| John Christopher Stiltner | Registered representative | CFP Chartered Financial Consultant | Jul 2005 (21y) | |
| Bennett Kendall Baker | Registered representative | Oct 2005 (21y) | ||
| Andrew Joseph Thorne | Registered representative | Nov 2005 (21y) | ||
| Richard Eugene Tenison | Registered representative | Nov 2005 (21y) | ||
| Bradley A Mills | Registered representative | Nov 2005 (21y) | ||
| Carrie L. Reynolds | Registered representative | Nov 2005 (21y) | ||
| Nicholas George Razzoog | Registered representative | Dec 2005 (21y) | ||
| Anthony Hugh Arnold | Registered representative | Feb 2006 (20y) | ||
| Jeffrey Alan Lawson | Registered representative | CFP | Apr 2006 (20y) | |
| Ameer Scott Richardson | Registered representative | Sep 2006 (20y) | ||
| Christopher A. Bush | Registered representative | Oct 2006 (20y) | ||
| Justin Philip Wilson | Registered representative | CFP | Dec 2006 (20y) | |
| Russell Stewart Plent | Registered representative | CFP | Feb 2007 (19y) | |
| Rene Mercadante | Registered representative | Mar 2007 (19y) | ||
| Robin Renee Romine Steinway | Registered representative | Apr 2007 (19y) | ||
| Martin Lee Jerwers | Registered representative | CFP Chartered Financial Consultant | Apr 2007 (19y) | |
| Christopher Edward Crull | Registered representative | CFP | May 2007 (19y) | |
| Nan Elga Matteson | Registered representative | CFP | May 2007 (19y) | |
| Fredi Yu Hing Ng | Registered representative | May 2007 (19y) | ||
| Jennifer Danelle Morrow | Registered representative | May 2007 (19y) | ||
| Megan Jane Raleigh | Registered representative | May 2007 (19y) | ||
| Roseanne Louise Pack | Registered representative | May 2007 (19y) | ||
| Traci Lea Byrge | Registered representative | May 2007 (19y) | ||
| Peter Heinz | Registered representative | May 2007 (19y) | ||
| Stephen Clay Holbrook | Registered representative | CFP | Jun 2007 (19y) | |
| Gina May Scott | Registered representative | Jun 2007 (19y) | ||
| Yadira Alvarado | Registered representative | Jul 2007 (19y) | ||
| Sandra Lynn Stack Potjunas | Registered representative | Jul 2007 (19y) | ||
| Beverly Ann Hart Meek | Registered representative | Jul 2007 (19y) | ||
| Amy Lynn Williams | Registered representative | Aug 2007 (19y) | ||
| James Kenneth Morgan | Registered representative | Nov 2007 (19y) | ||
| Joseph Stephen Daft | Registered representative | Dec 2007 (19y) | ||
| Joshua Christian Klump | Registered representative | Jan 2008 (19y) | ||
| Tracie L Elsner | Registered representative | Jan 2008 (19y) | ||
| Eric John Wiegandt | Registered representative | Feb 2008 (18y) | ||
| Stephen Scott Hopkins | Registered representative | Feb 2008 (18y) | ||
| Melissa Renee Wilson | Registered representative | Feb 2008 (18y) | ||
| Jennifer Lynn Ferguson | Registered representative | Feb 2008 (18y) | ||
| Matthew Mavor Foley | Registered representative | CFP | Mar 2008 (18y) | |
| Robert Louis Pierce | Registered representative | CFP | May 2008 (18y) | |
| Amy Suzanne Wills | Registered representative | May 2008 (18y) | ||
| Peter N Sarbieski | Registered representative | May 2008 (18y) | ||
| Kevin Patrick O'hare | Registered representative | Jun 2008 (18y) | ||
| Terri Jo Ballard | Registered representative | Aug 2008 (18y) | ||
| James Timothy Haltigan | Registered representative | Sep 2008 (18y) | ||
| Joseph Anthony Singer | Registered representative | Sep 2008 (18y) | ||
| Lisa Gayle Miller | Registered representative | Dec 2008 (18y) | ||
| Nicholas Tom Elias | Registered representative | CFP | Dec 2008 (18y) | |
| Keith Jude Douglas | Registered representative | CFP | Dec 2008 (18y) | |
| Ronald Scott Pozen | Registered representative | Dec 2008 (18y) | ||
| James Russell Riley | Registered representative | Dec 2008 (18y) | ||
| Jeffrey Ignatius Leiker | Registered representative | Jan 2009 (18y) | ||
| Fredric Raymond Hoffman | Registered representative | Feb 2009 (17y) | ||
| Michael Andrew Savage | Registered representative | Apr 2009 (17y) | ||
| Sarah Ann Kellard | Registered representative | May 2009 (17y) | ||
| Jerid Robert Friar | Registered representative | Jul 2009 (17y) | ||
| Chad Nickolas Loson | Registered representative | Jul 2009 (17y) | ||
| Brian Michael George | Registered representative | Jul 2009 (17y) | ||
| Margaret Hope Schneider | Registered representative | Aug 2009 (17y) | ||
| Jason Todd Rizzo | Registered representative | Aug 2009 (17y) | ||
| Robert Clement Dice | Registered representative | Sep 2009 (17y) | ||
| Toby Matthew Woloshan | Registered representative | Sep 2009 (17y) | ||
| Marc Evan Zeller | Registered representative | CFP | Oct 2009 (17y) | |
| Ryan Anthony Oberhausen | Registered representative | Oct 2009 (17y) | ||
| Kenneth Joseph Heidelberger | Registered representative | Nov 2009 (17y) | ||
| Salvador Briseno | Registered representative | Nov 2009 (17y) | ||
| Dennis Charles Bearce | Registered representative | Nov 2009 (17y) | ||
| Kimmy Sue Morris | Registered representative | Dec 2009 (17y) | ||
| Jennifer Anne Billiam | Registered representative | Dec 2009 (17y) | ||
| Bruce Allen Krarup | Registered representative | Dec 2009 (17y) | ||
| Philip Clark Jackson | Registered representative | Dec 2009 (17y) | ||
| Ross William Hoewischer | Registered representative | CFP | Dec 2009 (17y) | |
| Gerald Allan Gilbertson | Registered representative | CFP | Jan 2010 (17y) | |
| Candice Renee Mason | Registered representative | Feb 2010 (16y) | ||
| Christopher Richard Maggard | Registered representative | Feb 2010 (16y) | ||
| Michael Francis Tafelski | Registered representative | CFP | Feb 2010 (16y) | |
| Patrick James Blume | Registered representative | Feb 2010 (16y) | ||
| Amy Marie Lincoln | Registered representative | Feb 2010 (16y) | ||
| Christopher J Bouma | Registered representative | Feb 2010 (16y) | ||
| Julie Ann Zobeck | Registered representative | Feb 2010 (16y) | ||
| Kristine Lynn Odonnell | Registered representative | Feb 2010 (16y) | ||
| Mark Edward Sloan | Registered representative | CFP | Feb 2010 (16y) | |
| Paul Nicholas Petroff | Registered representative | Feb 2010 (16y) | ||
| Stacey Nichole Hanson | Registered representative | Feb 2010 (16y) | ||
| Suzzanne Marie Cross | Registered representative | Feb 2010 (16y) | ||
| Auna M Kuehnle | Registered representative | Feb 2010 (16y) | ||
| Fallien E Schwein | Registered representative | Feb 2010 (16y) | ||
| Janelle Eva Tuma | Registered representative | Feb 2010 (16y) | ||
| Michael R Ver Merris | Registered representative | Feb 2010 (16y) | ||
| James Matthew Cooper | Registered representative | Feb 2010 (16y) | ||
| Rita Joanne Cornett | Registered representative | Apr 2010 (16y) | ||
| Caleb Dwight La Course | Registered representative | May 2010 (16y) | ||
| Adam Blake Tyler | Registered representative | Jun 2010 (16y) | ||
| James Edward Doster | Registered representative | Jul 2010 (16y) | ||
| Steven Anthony Dudley | Registered representative | Jul 2010 (16y) | ||
| Ryan Jay Kelley | Registered representative | Aug 2010 (16y) | ||
| Christopher M Hopper | Registered representative | Sep 2010 (16y) | ||
| Jeremy David Schipp | Registered representative | Sep 2010 (16y) | ||
| Ayman Suliman Ghousheh | Registered representative | Nov 2010 (16y) | ||
| David Robert Junker | Registered representative | Dec 2010 (16y) | ||
| Erin Lee Shafer | Registered representative | Feb 2011 (15y) | ||
| Dominic Anthony Defazio | Registered representative | CFP | Feb 2011 (15y) | |
| Malaquias J Paez | Registered representative | Mar 2011 (15y) | ||
| Grant Stephen Bushue | Registered representative | Apr 2011 (15y) | ||
| Michelle Ann Burch | Registered representative | Apr 2011 (15y) | ||
| Michael Shane Steffen | Registered representative | May 2011 (15y) | ||
| Edward George Kiamie | Registered representative | Jun 2011 (15y) | ||
| Gregg Glenn Eicholtz | Registered representative | Jun 2011 (15y) | ||
| Matthew Charles Wilder | Registered representative | Jun 2011 (15y) | ||
| Stacy Lynn Bosch | Registered representative | Jul 2011 (15y) | ||
| Kelly Ann Liebbe | Registered representative | Aug 2011 (15y) | ||
| Adam Richard Slosar | Registered representative | Aug 2011 (15y) | ||
| Laura Marie Tidd | Registered representative | Oct 2011 (15y) | ||
| Kevin Charles Kozlowski | Registered representative | Dec 2011 (15y) | ||
| Feraas Isa Suleyman | Registered representative | Jan 2012 (15y) | ||
| Kristin Amy Rose | Registered representative | Jan 2012 (15y) | ||
| Michelle R Misplay | Registered representative | Jan 2012 (15y) | ||
| Rodney Dewayne Smith | Registered representative | Feb 2012 (14y) | ||
| Craig M Oney | Registered representative | Feb 2012 (14y) | ||
| Bradley Clark Curtsinger | Registered representative | Mar 2012 (14y) | ||
| Michael Alfred Youakim | Registered representative | CFP | Mar 2012 (14y) | |
| Michael David Smith | Registered representative | Mar 2012 (14y) | ||
| Isac R Bush | Registered representative | May 2012 (14y) | ||
| Nathaniel Aaron Abney | Registered representative | May 2012 (14y) | ||
| Thomas Schuller | Registered representative | CFP | Jun 2012 (14y) | |
| Norman Barry Berman | Registered representative | Jul 2012 (14y) | ||
| Jaime Marie Pyles | Registered representative | Jul 2012 (14y) | ||
| Michael Paul Smith | Registered representative | Jul 2012 (14y) | ||
| Jeremy Christopher Gates | Registered representative | CFP | Sep 2012 (14y) | |
| James Curtis Baker | Registered representative | Sep 2012 (14y) | ||
| Karl T Slavik | Registered representative | CFP | Sep 2012 (14y) | |
| Hans William Mathiak | Registered representative | Oct 2012 (14y) | ||
| Joseph Salvatore Bono | Registered representative | Oct 2012 (14y) | ||
| Martin Edward Plant | Registered representative | Nov 2012 (14y) | ||
| Laura Sue Tenley | Registered representative | Nov 2012 (14y) | ||
| Juan Carlos Aguilar | Registered representative | Nov 2012 (14y) | ||
| Matthew Mark Byrley | Registered representative | Dec 2012 (14y) | ||
| Dennis Stefan Glosik | Registered representative | Dec 2012 (14y) | ||
| Benjamin Hollis Knox | Registered representative | CFP CFA | Jan 2013 (14y) | |
| Sean Lucas Temperly | Registered representative | CFP | Feb 2013 (13y) | |
| Holly Reed Banford | Registered representative | Feb 2013 (13y) | ||
| Michael Patrick King | Registered representative | Mar 2013 (13y) | ||
| Angela Louise Schumaker | Registered representative | Mar 2013 (13y) | ||
| Jennifer Marie Hall | Registered representative | Apr 2013 (13y) | ||
| Steven Patrick Seidl | Registered representative | CFP | Apr 2013 (13y) | |
| William Joseph Brems | Registered representative | Chartered Financial Consultant | Apr 2013 (13y) | |
| Jonathan Allender Dinsmore | Registered representative | Apr 2013 (13y) | ||
| Larry W Farr | Registered representative | Jun 2013 (13y) | ||
| Maggie Margret Quick | Registered representative | Jun 2013 (13y) | ||
| Mark Shannon Fairgrieve | Registered representative | Jul 2013 (13y) | ||
| Rachel Denise Ramsayer | Registered representative | Jul 2013 (13y) | ||
| Matthew Todd Thompson | Registered representative | Aug 2013 (13y) | ||
| Jason Daniel Rathel | Registered representative | Aug 2013 (13y) | ||
| Patricia Kay Elwood | Registered representative | Aug 2013 (13y) | ||
| Leo Paul Harrington | Registered representative | Sep 2013 (13y) | ||
| Laura Kaczor Stevens | Registered representative | Oct 2013 (13y) | ||
| Shumaila Bahram Pirani | Registered representative | Nov 2013 (13y) | ||
| James Joseph Powers | Registered representative | Nov 2013 (13y) | ||
| Ryan Robert Stevenson | Registered representative | Dec 2013 (13y) | ||
| Melva Lynn Austin | Registered representative | Dec 2013 (13y) | ||
| James Joseph Mclaughlin | Registered representative | Jan 2014 (13y) | ||
| Paul David Housholder | Registered representative | Feb 2014 (12y) | ||
| Ashley Nicole Felts | Registered representative | Feb 2014 (12y) | ||
| Justin Nicholas James | Registered representative | Apr 2014 (12y) | ||
| Michael Carl Patzer | Registered representative | Apr 2014 (12y) | ||
| Christopher Stoecklin | Registered representative | Apr 2014 (12y) | ||
| Kristie Joelle Curtiss | Registered representative | Apr 2014 (12y) | ||
| Roger Anthony Siegel | Registered representative | Apr 2014 (12y) | ||
| Troy Yvonne Braun | Registered representative | Apr 2014 (12y) | ||
| Stephanie L. Sketch Durr | Registered representative | May 2014 (12y) | ||
| Eric Jason Warren | Registered representative | CFP | Jun 2014 (12y) | |
| Balisha Na Lu Esta Merritt | Registered representative | Jun 2014 (12y) | ||
| Eric Richard Schlinger | Registered representative | Aug 2014 (12y) | ||
| Sarah Lall | Registered representative | Aug 2014 (12y) | ||
| Jeffrey Joseph O'bryan | Registered representative | Aug 2014 (12y) | ||
| Timothy Howard Puckett | Registered representative | Oct 2014 (12y) | ||
| Ryan Jacob Sherwin | Registered representative | Nov 2014 (12y) | ||
| Carmen Antonette Sanders | Registered representative | Dec 2014 (12y) | ||
| Tara Rammel | Registered representative | Dec 2014 (12y) | ||
| Scott Robert Barlow | Registered representative | CFP | Dec 2014 (12y) | |
| Nicholas Nolen Bradley | Registered representative | Jan 2015 (12y) | ||
| Darci Mae Metcalf | Registered representative | Feb 2015 (11y) | ||
| Ruben Zapata | Registered representative | Mar 2015 (11y) | ||
| Minnie S Singh | Registered representative | Mar 2015 (11y) | ||
| Denny James Parsson | Registered representative | Apr 2015 (11y) | ||
| Katherine Hupp | Registered representative | Apr 2015 (11y) | ||
| Jessica L. Lucas | Registered representative | Apr 2015 (11y) | ||
| William Henry Cox | Registered representative | May 2015 (11y) | ||
| Joseph Anthony Lopardi | Registered representative | May 2015 (11y) | ||
| Tiffany Anne Mckee | Registered representative | May 2015 (11y) | ||
| Rachell Danielle Blanchard | Registered representative | May 2015 (11y) | ||
| Priscilla D Moore | Registered representative | Jun 2015 (11y) | ||
| Richard Zachary Steele | Registered representative | Jul 2015 (11y) | ||
| Adam Brentlinger | Registered representative | Jul 2015 (11y) | ||
| Daniel P O'sullivan | Registered representative | Jul 2015 (11y) | ||
| Ali Kae Hilvers | Registered representative | Jul 2015 (11y) | ||
| Brian K Meeks Ii | Registered representative | Aug 2015 (11y) | ||
| Hector Luis Cruz | Registered representative | Aug 2015 (11y) | ||
| Daryl J Evans | Registered representative | Oct 2015 (11y) | ||
| John Matthew Fisher | Registered representative | CFA | Oct 2015 (11y) | |
| Gregory Carlton | Registered representative | Oct 2015 (11y) | ||
| Timothy Ferral Goodman | Registered representative | Oct 2015 (11y) | ||
| Susan Faye Weber | Registered representative | Nov 2015 (11y) | ||
| Todd M Horvath | Registered representative | Dec 2015 (11y) | ||
| Michael Bravo | Registered representative | Dec 2015 (11y) | ||
| Christopher Michael Lago | Registered representative | CFP | Dec 2015 (11y) | |
| Sean M Hannigan | Registered representative | Dec 2015 (11y) | ||
| Kelly Meyers Malatesta | Registered representative | Dec 2015 (11y) | ||
| Seth Vaughn Hargrove | Registered representative | CFP | Jan 2016 (11y) | |
| Ashley Assanuvat Sullivan | Registered representative | CFP | Jan 2016 (11y) | |
| Samuel Anthony Gondek | Registered representative | Jan 2016 (11y) | ||
| Richard Joseph Mcgowan | Registered representative | Feb 2016 (10y) | ||
| John Thomas Desantis | Registered representative | Feb 2016 (10y) | ||
| Jillian Regina Bowman | Registered representative | Feb 2016 (10y) | ||
| Joshua Tyler Shank | Registered representative | Mar 2016 (10y) | ||
| Romelda Rae Giles | Registered representative | Mar 2016 (10y) | ||
| Rhonda L Gilliam | Registered representative | Apr 2016 (10y) | ||
| Scott Michael Braden | Registered representative | Apr 2016 (10y) | ||
| Daniel Evan Markarian | Registered representative | May 2016 (10y) | ||
| Jonathan Dennis Hansen | Registered representative | May 2016 (10y) | ||
| Bradley T Hauser | Registered representative | CFP | May 2016 (10y) | |
| Larry James Sweet | Registered representative | May 2016 (10y) | ||
| Kyle Robert Kinzig | Registered representative | Jun 2016 (10y) | ||
| Theresa M Schmitt | Registered representative | Aug 2016 (10y) | ||
| Mark John Posey | Registered representative | Aug 2016 (10y) | ||
| Edward Tyler Engler | Registered representative | Aug 2016 (10y) | ||
| Carrie L Miller | Registered representative | Aug 2016 (10y) | ||
| Jeffrey Joseph Moore | Registered representative | CFP | Sep 2016 (10y) | |
| Abby J Aey | Registered representative | Oct 2016 (10y) | ||
| Andrea Lynne Bourquein | Registered representative | Oct 2016 (10y) | ||
| Andrew James Timko | Registered representative | Oct 2016 (10y) | ||
| Keith Dean Dooley | Registered representative | Oct 2016 (10y) | ||
| Anastasia Ebert | Registered representative | Oct 2016 (10y) | ||
| Andrew Tod Heckaman | Registered representative | Oct 2016 (10y) | ||
| Eric Dale Holzwarth | Registered representative | Oct 2016 (10y) | ||
| Brennan Robert Mccoy | Registered representative | Oct 2016 (10y) | ||
| Tereza Tancau | Registered representative | Oct 2016 (10y) | ||
| Joseph Richard Suhadolc | Registered representative | CFP | Nov 2016 (10y) | |
| Matthew Robert Pierson | Registered representative | Nov 2016 (10y) | ||
| Benjamin Smith Miller | Registered representative | Nov 2016 (10y) | ||
| Patricia Ann Bowles | Registered representative | Nov 2016 (10y) | ||
| David Marshall Livingston | Registered representative | Nov 2016 (10y) | ||
| Valarie Renee Kaney | Registered representative | Nov 2016 (10y) | ||
| Alex M Crowthers | Registered representative | Nov 2016 (10y) | ||
| Jason Kerrick Hermes | Registered representative | Nov 2016 (10y) | ||
| George Michel Rassi | Registered representative | Nov 2016 (10y) | ||
| Traci Elizabeth Steder | Registered representative | Nov 2016 (10y) | ||
| Robert Michael Ernst | Registered representative | Nov 2016 (10y) | ||
| Ryan D Baines | Registered representative | Nov 2016 (10y) | ||
| Hilda Yanina Yataco | Registered representative | Nov 2016 (10y) | ||
| Nick Kostoff | Registered representative | Nov 2016 (10y) | ||
| Robert Magnesen | Registered representative | Nov 2016 (10y) | ||
| Jason Peter Youngman | Registered representative | Nov 2016 (10y) | ||
| Adam D Hackney | Registered representative | Nov 2016 (10y) | ||
| Anthony J Monastero | Registered representative | Nov 2016 (10y) | ||
| Amy M Woelfel | Registered representative | Nov 2016 (10y) | ||
| Deidre Nicole Jackson | Registered representative | Nov 2016 (10y) | ||
| Steve Michael Tuchfarber | Registered representative | Nov 2016 (10y) | ||
| William Joseph Oliver | Registered representative | Nov 2016 (10y) | ||
| Kevin Brock Smith | Registered representative | Nov 2016 (10y) | ||
| Colene M Bradley | Registered representative | Dec 2016 (10y) | ||
| Robert P Kane | Registered representative | Jan 2017 (10y) | ||
| Craig Mitchell | Registered representative | Jan 2017 (10y) | ||
| Martin Bernal | Registered representative | Feb 2017 (9y) | ||
| Charles D. Williams | Registered representative | Feb 2017 (9y) | ||
| Vera Johnson | Registered representative | CFP Chartered Financial Consultant | Feb 2017 (9y) | |
| Kimberli Lane Lambert | Registered representative | Feb 2017 (9y) | ||
| Nicholas Kaminsky | Registered representative | Feb 2017 (9y) | ||
| Philip Robert Sandrok | Registered representative | Feb 2017 (9y) | ||
| Matthew Scott Quinter | Registered representative | Feb 2017 (9y) | ||
| Nick Sean Summa | Registered representative | Feb 2017 (9y) | ||
| Michael Robert Lydigsen | Registered representative | Mar 2017 (9y) | ||
| Tina J Forbes | Registered representative | Mar 2017 (9y) | ||
| Benjamin R Conner | Registered representative | Mar 2017 (9y) | ||
| Joseph Nehra Sherburn | Registered representative | Mar 2017 (9y) | ||
| Tricia Diane Easley | Registered representative | Mar 2017 (9y) | ||
| Renee Louise Revette | Registered representative | Mar 2017 (9y) | ||
| Sean Bruce | Registered representative | Apr 2017 (9y) | ||
| Stephan A Wisniowski | Registered representative | Apr 2017 (9y) | ||
| Cheryl Lynn Gazso | Registered representative | Apr 2017 (9y) | ||
| Alisha Nicole Merkel | Registered representative | Apr 2017 (9y) | ||
| Zachary J Bauer | Registered representative | Apr 2017 (9y) | ||
| Eric C Anders | Registered representative | Apr 2017 (9y) | ||
| Nathan D Wangler | Registered representative | May 2017 (9y) | ||
| Susanne M Swanson | Registered representative | Jun 2017 (9y) | ||
| Michael Harned | Registered representative | Jun 2017 (9y) | ||
| Jessica Naomi Travelstead | Registered representative | Jun 2017 (9y) | ||
| William Charles Mcclanahan | Registered representative | Jun 2017 (9y) | ||
| Daniel Kenneth Midgley | Registered representative | Jul 2017 (9y) | ||
| Denes Joseph Chapo | Registered representative | Jul 2017 (9y) | ||
| Daniel J Frizzell | Registered representative | Aug 2017 (9y) | ||
| Mary C Blankenship | Registered representative | Aug 2017 (9y) | ||
| David R Snider | Registered representative | Sep 2017 (9y) | ||
| Jesse Astorga | Registered representative | Sep 2017 (9y) | ||
| Richard Smith | Registered representative | Sep 2017 (9y) | ||
| Lora J Hampton | Registered representative | Sep 2017 (9y) | ||
| Richard Kuzniar | Registered representative | CFP | Oct 2017 (9y) | |
| Alexis Gadient | Registered representative | Oct 2017 (9y) | ||
| Chad R Balhoff | Registered representative | Oct 2017 (9y) | ||
| Emily K Bellamy | Registered representative | Nov 2017 (9y) | ||
| Michael Eric Roush | Registered representative | Nov 2017 (9y) | ||
| Justin D Black | Registered representative | Nov 2017 (9y) | ||
| Stephen John Temmer | Registered representative | Dec 2017 (9y) | ||
| Nathan W Rainbolt | Registered representative | Dec 2017 (9y) | ||
| David C Parker | Registered representative | CFP | Dec 2017 (9y) | |
| Rebekah Elizabeth Thomas | Registered representative | Dec 2017 (9y) | ||
| Cortney A. Furey | Registered representative | Dec 2017 (9y) | ||
| Sean E Grillot | Registered representative | Jan 2018 (9y) | ||
| Christopher M Eaton | Registered representative | CFP | Feb 2018 (8y) | |
| Mark J Wyrobek | Registered representative | Mar 2018 (8y) | ||
| Jonathon Michael Sears | Registered representative | Mar 2018 (8y) | ||
| Douglas Roy Russell | Registered representative | Mar 2018 (8y) | ||
| Jarrett Paul Mehalik | Registered representative | Mar 2018 (8y) | ||
| Nathan C Scholes | Registered representative | Mar 2018 (8y) | ||
| Seth L Schumaker | Registered representative | Apr 2018 (8y) | ||
| Lynn M Zak | Registered representative | Apr 2018 (8y) | ||
| Adriel E Irizarry | Registered representative | Apr 2018 (8y) | ||
| Benjamin P Johns | Registered representative | Apr 2018 (8y) | ||
| Andrew L Stahl | Registered representative | Apr 2018 (8y) | ||
| Michael F Modlin | Registered representative | Apr 2018 (8y) | ||
| Zachary David Miller | Registered representative | May 2018 (8y) | ||
| Matthew G Martin | Registered representative | May 2018 (8y) | ||
| Maja Baric | Registered representative | Jun 2018 (8y) | ||
| Stephanie L Russell | Registered representative | Jun 2018 (8y) | ||
| Bradley D Recknagel | Registered representative | Jun 2018 (8y) | ||
| Amber Catherine Sutton | Registered representative | Jul 2018 (8y) | ||
| Benjamin R Mcconnell | Registered representative | Jul 2018 (8y) | ||
| Ahmet Kildis | Registered representative | Jul 2018 (8y) | ||
| Beth A Marsh | Registered representative | Jul 2018 (8y) | ||
| Luis A Markin | Registered representative | Jul 2018 (8y) | ||
| Benjamin W Jackson | Registered representative | Jul 2018 (8y) | ||
| Matthew Luken | Registered representative | Aug 2018 (8y) | ||
| Thomas M Dillon | Registered representative | Aug 2018 (8y) | ||
| Larsa Heil | Registered representative | Sep 2018 (8y) | ||
| Jason E Jones | Registered representative | Sep 2018 (8y) | ||
| Daniel A Doerflein | Registered representative | Oct 2018 (8y) | ||
| Derrick J Cope | Registered representative | Oct 2018 (8y) | ||
| Pauline A Petruch | Registered representative | Oct 2018 (8y) | ||
| Sean Adam Darr | Registered representative | Oct 2018 (8y) | ||
| Erin Michelle Fidler | Registered representative | Oct 2018 (8y) | ||
| Kelley Ann Niehaus | Registered representative | Oct 2018 (8y) | ||
| Ted Stephen Rolf | Registered representative | Oct 2018 (8y) | ||
| Patrick William Harrington | Registered representative | Oct 2018 (8y) | ||
| Julie T Bukowski | Registered representative | Oct 2018 (8y) | ||
| Andrea J Hargette | Registered representative | Oct 2018 (8y) | ||
| Carrie L Roberts | Registered representative | Oct 2018 (8y) | ||
| Geno M Manov | Registered representative | Oct 2018 (8y) | ||
| Kaelan G. Petersen | Registered representative | Oct 2018 (8y) | ||
| William Charles Gibson | Registered representative | Oct 2018 (8y) | ||
| Christel J Toal | Registered representative | Oct 2018 (8y) | ||
| Christopher R Eldridge | Registered representative | Oct 2018 (8y) | ||
| Tracy Timmerman | Registered representative | Oct 2018 (8y) | ||
| Aurelio J Reyes | Registered representative | Oct 2018 (8y) | ||
| James Wheeler | Registered representative | Nov 2018 (8y) | ||
| Brooke R Dryden | Registered representative | Nov 2018 (8y) | ||
| Bennett Coulopoulos | Registered representative | Dec 2018 (8y) | ||
| S Renee Whisman | Registered representative | Dec 2018 (8y) | ||
| Ryan O Stocke | Registered representative | Jan 2019 (8y) | ||
| Michael D Frey | Registered representative | Feb 2019 (7y) | ||
| Alex Linderman | Registered representative | Feb 2019 (7y) | ||
| Kevin K Richard | Registered representative | Feb 2019 (7y) | ||
| Angela D. Houchin | Registered representative | Feb 2019 (7y) | ||
| Christopher Michael Bowling | Registered representative | Mar 2019 (7y) | ||
| Michael W. Comer | Registered representative | Mar 2019 (7y) | ||
| Shannon M Arias | Registered representative | Apr 2019 (7y) | ||
| Kathryn E Saylor | Registered representative | Apr 2019 (7y) | ||
| Denis Kazalac | Registered representative | Apr 2019 (7y) | ||
| Theresa Sdrakas | Registered representative | May 2019 (7y) | ||
| Marissa K Beltran | Registered representative | May 2019 (7y) | ||
| Paul Mozis | Registered representative | CFP | Jun 2019 (7y) | |
| Mike T Collins | Registered representative | Jun 2019 (7y) | ||
| Thomas R Stines | Registered representative | Jun 2019 (7y) | ||
| Jason D Petroff | Registered representative | Jun 2019 (7y) | ||
| Cynthia Mae Walters | Registered representative | Jul 2019 (7y) | ||
| Joshua Hodge | Registered representative | Jul 2019 (7y) | ||
| Joshua T Jorgensen | Registered representative | Jul 2019 (7y) | ||
| Eric T Lapai | Registered representative | Jul 2019 (7y) | ||
| John P Flanagan | Registered representative | Jul 2019 (7y) | ||
| David George Newman | Registered representative | Jul 2019 (7y) | ||
| Adam B Banks | Registered representative | Aug 2019 (7y) | ||
| Joshua Crouch | Registered representative | Aug 2019 (7y) | ||
| Emily J Bearden | Registered representative | Aug 2019 (7y) | ||
| Matthew R Ward | Registered representative | Sep 2019 (7y) | ||
| David Suominen | Registered representative | Sep 2019 (7y) | ||
| Kevin R Niemeier | Registered representative | Sep 2019 (7y) | ||
| Jacob R Mysliwiec | Registered representative | Oct 2019 (7y) | ||
| David Frank Tiesma | Registered representative | Oct 2019 (7y) | ||
| Margaret Grace Arnett Petersen | Registered representative | Oct 2019 (7y) | ||
| James L Sakoski | Registered representative | Oct 2019 (7y) | ||
| Mark Dehaan | Registered representative | Nov 2019 (7y) | ||
| Stella Arnaut | Registered representative | Nov 2019 (7y) | ||
| Louis Michael Magliano Iv | Registered representative | Nov 2019 (7y) | ||
| Paul Wagner | Registered representative | Nov 2019 (7y) | ||
| Jacqueline Williams | Registered representative | Nov 2019 (7y) | ||
| Samuel Ramirez | Registered representative | Nov 2019 (7y) | ||
| Joseph L Williams | Registered representative | Nov 2019 (7y) | ||
| Jared Michael Cason | Registered representative | Dec 2019 (7y) | ||
| Nicholas Allan Niehaus | Registered representative | Jan 2020 (7y) | ||
| Lidia Granger | Registered representative | Jan 2020 (7y) | ||
| Bryan Weisman | Registered representative | CFP | Jan 2020 (7y) | |
| Angel Tepe | Registered representative | Feb 2020 (6y) | ||
| Rebecca Greene | Registered representative | Feb 2020 (6y) | ||
| Jennifer Medlin | Registered representative | Feb 2020 (6y) | ||
| James Barone | Registered representative | Feb 2020 (6y) | ||
| Neil A Cate | Registered representative | Mar 2020 (6y) | ||
| Andrew Martin | Registered representative | Mar 2020 (6y) | ||
| Rodrigo Domingo | Registered representative | Mar 2020 (6y) | ||
| Donna Lou Carr | Registered representative | Apr 2020 (6y) | ||
| Eric Geiger | Registered representative | CFP | Apr 2020 (6y) | |
| Katelynn E Hughett | Registered representative | May 2020 (6y) | ||
| Brittany Wood | Registered representative | May 2020 (6y) | ||
| Roberta J Hacker | Registered representative | May 2020 (6y) | ||
| Kerr Ann M Dempster | Registered representative | May 2020 (6y) | ||
| John A Geshay | Registered representative | May 2020 (6y) | ||
| Rakesh K Singh | Registered representative | Jun 2020 (6y) | ||
| Roger Suchy | Registered representative | Jun 2020 (6y) | ||
| Jacob Sommerkamp | Registered representative | Jul 2020 (6y) | ||
| Jonathan Hardy | Registered representative | Jul 2020 (6y) | ||
| Mark William Long | Registered representative | Jul 2020 (6y) | ||
| Adam Hextell | Registered representative | Jul 2020 (6y) | ||
| Chris M Poppa | Registered representative | Jul 2020 (6y) | ||
| Shelbie J Conrad | Registered representative | Aug 2020 (6y) | ||
| Nathan D Breese | Registered representative | Aug 2020 (6y) | ||
| John C Drinkard | Registered representative | Sep 2020 (6y) | ||
| Lisa M Stewart | Registered representative | Sep 2020 (6y) | ||
| John Mazzarella | Registered representative | Sep 2020 (6y) | ||
| Phil M Weber | Registered representative | CFP | Oct 2020 (6y) | |
| Natalie Rebekah Barnett | Registered representative | Oct 2020 (6y) | ||
| Matthew Allen Cook | Registered representative | Oct 2020 (6y) | ||
| Gage A Smith | Registered representative | Oct 2020 (6y) | ||
| Willie B Mccaulley | Registered representative | Nov 2020 (6y) | ||
| David Hunter Marshall | Registered representative | CFP | Dec 2020 (6y) | |
| Michael J Hewitt | Registered representative | Jan 2021 (6y) | ||
| Jerome H Evers | Registered representative | Jan 2021 (6y) | ||
| Sarah Scheld | Registered representative | Jan 2021 (6y) | ||
| Matthew E Neff | Registered representative | Feb 2021 (5y) | ||
| Adam F Sailers | Registered representative | Feb 2021 (5y) | ||
| Randal S Regoli | Registered representative | Feb 2021 (5y) | ||
| Brian D Brinson | Registered representative | Feb 2021 (5y) | ||
| David Garland | Registered representative | Feb 2021 (5y) | ||
| Tracy L Tennant | Registered representative | Feb 2021 (5y) | ||
| Michael Lopez | Registered representative | Feb 2021 (5y) | ||
| Josue Tlamasico | Registered representative | Mar 2021 (5y) | ||
| Darci M Lingle | Registered representative | Mar 2021 (5y) | ||
| Matthew Jacob Hosken | Registered representative | Mar 2021 (5y) | ||
| Ryan C Minier | Registered representative | Mar 2021 (5y) | ||
| James Dores | Registered representative | Mar 2021 (5y) | ||
| Keith Janczak | Registered representative | Apr 2021 (5y) | ||
| Brian Waller | Registered representative | Apr 2021 (5y) | ||
| Jacob Kucia | Registered representative | Apr 2021 (5y) | ||
| Kimberly A Jennings | Registered representative | May 2021 (5y) | ||
| Nathan C Beaudrie | Registered representative | Jun 2021 (5y) | ||
| Jamie S Vazquez | Registered representative | Jun 2021 (5y) | ||
| Robert Traina | Registered representative | Jun 2021 (5y) | ||
| Wesley J Simpson | Registered representative | CFP | Jun 2021 (5y) | |
| George Thibault | Registered representative | Jun 2021 (5y) | ||
| Richard Casey | Registered representative | Jun 2021 (5y) | ||
| Amy Leindecker | Registered representative | Jul 2021 (5y) | ||
| Ronald S Baptist Ii | Registered representative | Jul 2021 (5y) | ||
| Juana E Garcia | Registered representative | Jul 2021 (5y) | ||
| William Hinton | Registered representative | Jul 2021 (5y) | ||
| Wade M Fisher | Registered representative | Jul 2021 (5y) | ||
| Michael Barboza | Registered representative | Aug 2021 (5y) | ||
| Adam M Baker | Registered representative | Aug 2021 (5y) | ||
| Timothy Jason Clarke | Registered representative | Aug 2021 (5y) | ||
| Kevin P Koeninger | Registered representative | Aug 2021 (5y) | ||
| Antwan Ward | Registered representative | Sep 2021 (5y) | ||
| Tyler M Rogerson | Registered representative | Oct 2021 (5y) | ||
| Jenna Armstrong | Registered representative | Oct 2021 (5y) | ||
| Nancy Kitson | Registered representative | Oct 2021 (5y) | ||
| Sarah Dupuy Rasmussen | Registered representative | Oct 2021 (5y) | ||
| Dylan Lee Hernandez | Registered representative | Nov 2021 (5y) | ||
| Robert Kuras | Registered representative | Nov 2021 (5y) | ||
| Joseph Jamoom | Registered representative | Dec 2021 (5y) | ||
| Richard Parsson | Registered representative | Jan 2022 (5y) | ||
| Jaclyn Mcgrew | Registered representative | Jan 2022 (5y) | ||
| Jeffrey Davis | Registered representative | CFP | Jan 2022 (5y) | |
| Loree J Crowe | Registered representative | Feb 2022 (4y) | ||
| Michael Bellavia | Registered representative | Feb 2022 (4y) | ||
| Andrew C Schutz | Registered representative | Feb 2022 (4y) | ||
| James R Hunter | Registered representative | Mar 2022 (4y) | ||
| Christopher Anteau | Registered representative | Mar 2022 (4y) | ||
| Scott Peluso | Registered representative | Mar 2022 (4y) | ||
| Lisa Baker | Registered representative | Mar 2022 (4y) | ||
| Brandon Thomas | Registered representative | Apr 2022 (4y) | ||
| Matthew Morrison | Registered representative | Apr 2022 (4y) | ||
| Matthew Strife | Registered representative | Apr 2022 (4y) | ||
| Paul A Riggert | Registered representative | Apr 2022 (4y) | ||
| Benjamin Kristoff | Registered representative | Apr 2022 (4y) | ||
| Phillip Martin | Registered representative | May 2022 (4y) | ||
| Ryan Rospert | Registered representative | Jun 2022 (4y) | ||
| John B Kaldis | Registered representative | Jun 2022 (4y) | ||
| Patrick R Mullen | Registered representative | Jun 2022 (4y) | ||
| Brian Kirkland | Registered representative | Jun 2022 (4y) | ||
| Kathleen A. Bindas | Registered representative | Jun 2022 (4y) | ||
| Logan L Jones | Registered representative | Jun 2022 (4y) | ||
| Jason R Holland | Registered representative | Jun 2022 (4y) | ||
| Trevor Johnson | Registered representative | Jun 2022 (4y) | ||
| Zach Mcdonald | Registered representative | Jul 2022 (4y) | ||
| Adriana M Bastos Randall | Registered representative | Jul 2022 (4y) | ||
| Cynthia A Shearer | Registered representative | Jul 2022 (4y) | ||
| Madeson Lamlein | Registered representative | Jul 2022 (4y) | ||
| Alexandra E Berning | Registered representative | Jul 2022 (4y) | ||
| Juan Jasso | Registered representative | Jul 2022 (4y) | ||
| Timothy Clayton | Registered representative | Jul 2022 (4y) | ||
| Debra A Lobello | Registered representative | Aug 2022 (4y) | ||
| Fabrizio Sanchez | Registered representative | Aug 2022 (4y) | ||
| David Claytor | Registered representative | Aug 2022 (4y) | ||
| Scott Farwell | Registered representative | Aug 2022 (4y) | ||
| Adrienne D Reinert | Registered representative | Aug 2022 (4y) | ||
| Aldo A Cattoi | Registered representative | Aug 2022 (4y) | ||
| Tyler M Hissrich | Registered representative | Aug 2022 (4y) | ||
| Adam C Wagers | Registered representative | Aug 2022 (4y) | ||
| Ian Schilly | Registered representative | Aug 2022 (4y) | ||
| Zachary Steinmetz | Registered representative | Aug 2022 (4y) | ||
| Juliann R Bunner | Registered representative | Aug 2022 (4y) | ||
| Joshua Suevel | Registered representative | Aug 2022 (4y) | ||
| Clifford J Heroth | Registered representative | Sep 2022 (4y) | ||
| Nicholas Razzoog | Registered representative | Sep 2022 (4y) | ||
| Nicholas A Scarbriel | Registered representative | Sep 2022 (4y) | ||
| Kiara S Hackshaw Gary | Registered representative | Sep 2022 (4y) | ||
| Eric Burrows | Registered representative | Oct 2022 (4y) | ||
| Dennis Brown | Registered representative | Oct 2022 (4y) | ||
| Luong T Horn | Registered representative | Oct 2022 (4y) | ||
| Temprance Berry | Registered representative | Oct 2022 (4y) | ||
| Christopher Pontarelli | Registered representative | Oct 2022 (4y) | ||
| Joseph Lucente | Registered representative | Nov 2022 (4y) | ||
| Robert Stephenson | Registered representative | Nov 2022 (4y) | ||
| Jacob Morrissey | Registered representative | Nov 2022 (4y) | ||
| Tyler Seidl | Registered representative | CFP | Nov 2022 (4y) | |
| James Griffin | Registered representative | Nov 2022 (4y) | ||
| Arthur Ridder | Registered representative | Nov 2022 (4y) | ||
| Kenneth Crawford | Registered representative | Dec 2022 (4y) | ||
| Pranav Singh | Registered representative | Dec 2022 (4y) | ||
| John Ross | Registered representative | Dec 2022 (4y) | ||
| Adam Hentz | Registered representative | Dec 2022 (4y) | ||
| Patricia Prado Gutierrez | Registered representative | Jan 2023 (4y) | ||
| Gregory Pendleton | Registered representative | Jan 2023 (4y) | ||
| Rolando Fernandez | Registered representative | Jan 2023 (4y) | ||
| Jonathan Rodriguez | Registered representative | Feb 2023 (3y) | ||
| Ian Foreman | Registered representative | CFP | Feb 2023 (3y) | |
| Bryan Mcclatchie | Registered representative | Feb 2023 (3y) | ||
| Amber P Fealy Lopez | Registered representative | Feb 2023 (3y) | ||
| Matthew Mark Oconnor | Registered representative | Feb 2023 (3y) | ||
| Sean Rogers | Registered representative | CFP | Feb 2023 (3y) | |
| Mitch Lawson | Registered representative | CFP | Mar 2023 (3y) | |
| Andrea Noe | Registered representative | Mar 2023 (3y) | ||
| Anthony Torreon | Registered representative | Mar 2023 (3y) | ||
| Brittany Hester | Registered representative | Mar 2023 (3y) | ||
| William Preston Rhodes | Registered representative | Apr 2023 (3y) | ||
| Autumn N Wood | Registered representative | Apr 2023 (3y) | ||
| Nicole Ann Grellman | Registered representative | Apr 2023 (3y) | ||
| Patrick Mitchell | Registered representative | Apr 2023 (3y) | ||
| Glen Whittington | Registered representative | Apr 2023 (3y) | ||
| Aris Tatevosian | Registered representative | Apr 2023 (3y) | ||
| Cathleen M Cunningham | Registered representative | May 2023 (3y) | ||
| Travis Schnell | Registered representative | May 2023 (3y) | ||
| Nicole Pupino | Registered representative | May 2023 (3y) | ||
| Ryan William Kraft | Registered representative | May 2023 (3y) | ||
| Sean Richmond | Registered representative | May 2023 (3y) | ||
| Tyler Fiorenza | Registered representative | May 2023 (3y) | ||
| Heather Kilbourne | Registered representative | May 2023 (3y) | ||
| Joshua J Juell | Registered representative | May 2023 (3y) | ||
| Nicholas Calendine | Registered representative | May 2023 (3y) | ||
| John Wilson | Registered representative | May 2023 (3y) | ||
| Brendan Simon Bohnhorst | Registered representative | May 2023 (3y) | ||
| Christopher Burgdorf | Registered representative | May 2023 (3y) | ||
| David Beaton | Registered representative | May 2023 (3y) | ||
| Felipe Antonio Gonzalez | Registered representative | Jun 2023 (3y) | ||
| Brett Warrick | Registered representative | Jun 2023 (3y) | ||
| Gary Heath Countryman | Registered representative | CFP | Jul 2023 (3y) | |
| Teresa Cotman | Registered representative | Jul 2023 (3y) | ||
| Travis Hough | Registered representative | Jul 2023 (3y) | ||
| Kyle Widmer | Registered representative | Jul 2023 (3y) | ||
| Shari N Stone | Registered representative | Jul 2023 (3y) | ||
| Timothy Jordan | Registered representative | Jul 2023 (3y) | ||
| Darien Jackson | Registered representative | Jul 2023 (3y) | ||
| Colette Cox | Registered representative | Jul 2023 (3y) | ||
| Lance Tabbert | Registered representative | Jul 2023 (3y) | ||
| Jackson Simon | Registered representative | Aug 2023 (3y) | ||
| Daniel Schwartz | Registered representative | Aug 2023 (3y) | ||
| Robert Blalock | Registered representative | CFP Chartered Financial Consultant | Aug 2023 (3y) | |
| Kwame Kenyatta | Registered representative | Sep 2023 (3y) | ||
| Marcus A Billingsly | Registered representative | Sep 2023 (3y) | ||
| Anthony D Trunzo | Registered representative | Sep 2023 (3y) | ||
| Frankie Portugal | Registered representative | Sep 2023 (3y) | ||
| William F Mc Carty | Registered representative | Sep 2023 (3y) | ||
| January Schmus | Registered representative | CFP | Sep 2023 (3y) | |
| Adam Smotherman | Registered representative | CFP | Oct 2023 (3y) | |
| Sean Fenerty | Registered representative | CFP | Oct 2023 (3y) | |
| Antoinetta Freeman | Registered representative | Oct 2023 (3y) | ||
| Dillon Drossart | Registered representative | Oct 2023 (3y) | ||
| Corey Zizelman | Registered representative | Oct 2023 (3y) | ||
| Marshall Hadley | Registered representative | Oct 2023 (3y) | ||
| James Andrew Fredrikson | Registered representative | CFP | Oct 2023 (3y) | |
| Samuel Rulli | Registered representative | Oct 2023 (3y) | ||
| Eric Behrends | Registered representative | Oct 2023 (3y) | ||
| Debbie Lynne Aud | Registered representative | Nov 2023 (3y) | ||
| Kelsey Dietzman | Registered representative | Nov 2023 (3y) | ||
| Rocio Aguayo | Registered representative | Nov 2023 (3y) | ||
| Joseph Huckleby | Registered representative | Nov 2023 (3y) | ||
| Samuel Beriault | Registered representative | Nov 2023 (3y) | ||
| Yetunde Ajayi | Registered representative | Dec 2023 (3y) | ||
| Kortnie K James | Registered representative | Dec 2023 (3y) | ||
| Scott Mcdougall | Registered representative | Dec 2023 (3y) | ||
| Rebecca Lynn Dinn | Registered representative | Dec 2023 (3y) | ||
| Brian Adams | Registered representative | Jan 2024 (3y) | ||
| Sean Pierce | Registered representative | Jan 2024 (3y) | ||
| Gary Bell Jr | Registered representative | Jan 2024 (3y) | ||
| Dominic Vanderyt | Registered representative | CFP | Feb 2024 (2y) | |
| Ryan Meckes | Registered representative | Feb 2024 (2y) | ||
| Syed Masood | Registered representative | Feb 2024 (2y) | ||
| Haley Cooper | Registered representative | Feb 2024 (2y) | ||
| Shanna C Dejong | Registered representative | Feb 2024 (2y) | ||
| Ethan Speelman | Registered representative | Feb 2024 (2y) | ||
| Samuel Uselton | Registered representative | Feb 2024 (2y) | ||
| Bradley Matthew Peavler | Registered representative | Feb 2024 (2y) | ||
| Erick Primero | Registered representative | Feb 2024 (2y) | ||
| Lucy E Weigel | Registered representative | Feb 2024 (2y) | ||
| Eric Gilliam | Registered representative | Feb 2024 (2y) | ||
| Benjamin Robert Spencer Russe Mondoux | Registered representative | Feb 2024 (2y) | ||
| Vitor Hara | Registered representative | Feb 2024 (2y) | ||
| Justin Thomas Rayman | Registered representative | CFP | Mar 2024 (2y) | |
| Jason Scott Moore | Registered representative | Mar 2024 (2y) | ||
| Stephen Frederick Eldridge | Registered representative | Mar 2024 (2y) | ||
| Christopher Uren | Registered representative | Mar 2024 (2y) | ||
| Connor Mackay | Registered representative | Mar 2024 (2y) | ||
| Maria P Soave Krambeck | Registered representative | Mar 2024 (2y) | ||
| Isaac James Rico | Registered representative | Apr 2024 (2y) | ||
| Jacob Wessler | Registered representative | Apr 2024 (2y) | ||
| Sandra Nies | Registered representative | Apr 2024 (2y) | ||
| Steven Hart | Registered representative | Apr 2024 (2y) | ||
| Amy M Grissom | Registered representative | Apr 2024 (2y) | ||
| Craig Neltner | Registered representative | Apr 2024 (2y) | ||
| Aldis Elezovic | Registered representative | Apr 2024 (2y) | ||
| Austin Cantor | Registered representative | Apr 2024 (2y) | ||
| Stephen Peterson | Registered representative | Apr 2024 (2y) | ||
| Daniel J Stipanovich | Registered representative | May 2024 (2y) | ||
| Joel James Lee Allen | Registered representative | May 2024 (2y) | ||
| Andrea Bell | Registered representative | May 2024 (2y) | ||
| Adam W Harris | Registered representative | May 2024 (2y) | ||
| Nicholas M Grimm | Registered representative | May 2024 (2y) | ||
| Zachary Scott Gordon | Registered representative | May 2024 (2y) | ||
| Tyler Linson | Registered representative | May 2024 (2y) | ||
| Bruce Dolliver | Registered representative | May 2024 (2y) | ||
| Julianna Muscarella | Registered representative | May 2024 (2y) | ||
| Connor Payne | Registered representative | May 2024 (2y) | ||
| Kevin Smith | Registered representative | May 2024 (2y) | ||
| Amir Barsoum | Registered representative | May 2024 (2y) | ||
| Jacob Hollifield | Registered representative | May 2024 (2y) | ||
| Giulio Isom | Registered representative | May 2024 (2y) | ||
| Ben P Russell | Registered representative | CFP | May 2024 (2y) | |
| Thomas Roberts | Registered representative | May 2024 (2y) | ||
| Ross Heinz | Registered representative | May 2024 (2y) | ||
| Elizabeth V Sharp | Registered representative | May 2024 (2y) | ||
| Shawn Rottink | Registered representative | May 2024 (2y) | ||
| Anna C Zlotnicki | Registered representative | May 2024 (2y) | ||
| Erik Lynch | Registered representative | Jun 2024 (2y) | ||
| Alan Pacholski | Registered representative | Jun 2024 (2y) | ||
| Matthew E Griffin | Registered representative | CFP | Jun 2024 (2y) | |
| Manuel Macias | Registered representative | Jun 2024 (2y) | ||
| Cody Harris | Registered representative | Jun 2024 (2y) | ||
| Cian L Nielsen Mayer | Registered representative | Jun 2024 (2y) | ||
| Yulun Wu | Registered representative | Jun 2024 (2y) | ||
| Jacob Luther | Registered representative | Jun 2024 (2y) | ||
| Justin M Nodo | Registered representative | Jun 2024 (2y) | ||
| Xavier Andres Kon Lopez | Registered representative | Jun 2024 (2y) | ||
| Andrew Barron | Registered representative | Jun 2024 (2y) | ||
| Alex Hornsby | Registered representative | Jun 2024 (2y) | ||
| Dan M Romano | Registered representative | Jun 2024 (2y) | ||
| Shaun Smith | Registered representative | Jun 2024 (2y) | ||
| Blake E Snyder | Registered representative | Jul 2024 (2y) | ||
| Kirsten C Sovern | Registered representative | Jul 2024 (2y) | ||
| Joshua Mills | Registered representative | Jul 2024 (2y) | ||
| Joel Niese | Registered representative | Jul 2024 (2y) | ||
| Tonya D Guffey | Registered representative | Jul 2024 (2y) | ||
| Nacor Martinez | Registered representative | Jul 2024 (2y) | ||
| Alexandre Cauvin Sawyer | Registered representative | Jul 2024 (2y) | ||
| Keith D Mcateer | Registered representative | Jul 2024 (2y) | ||
| Lamont Taylor | Registered representative | Jul 2024 (2y) | ||
| Ana Fonseca | Registered representative | Aug 2024 (2y) | ||
| Joshua Neuville | Registered representative | Aug 2024 (2y) | ||
| Joseph Clift | Registered representative | Aug 2024 (2y) | ||
| Marsha Daugherty | Registered representative | Aug 2024 (2y) | ||
| Jordan William Stefanko | Registered representative | Aug 2024 (2y) | ||
| Khalid Boyd | Registered representative | Aug 2024 (2y) | ||
| Julie Bradshaw | Registered representative | Aug 2024 (2y) | ||
| Lucas Paez | Registered representative | Aug 2024 (2y) | ||
| Matthew Bailey | Registered representative | Aug 2024 (2y) | ||
| Anthony Resendes | Registered representative | Sep 2024 (2y) | ||
| Tony Campadonico | Registered representative | Sep 2024 (2y) | ||
| Samuel G Grusin | Registered representative | Sep 2024 (2y) | ||
| Benjamin Perfect | Registered representative | Sep 2024 (2y) | ||
| Chris Gruin | Registered representative | Sep 2024 (2y) | ||
| Stacy Lynn Schindler | Registered representative | Sep 2024 (2y) | ||
| Nordia Hue | Registered representative | Sep 2024 (2y) | ||
| Samuel Castiblanco | Registered representative | Sep 2024 (2y) | ||
| Ashley Stewart | Registered representative | Sep 2024 (2y) | ||
| Steven Tozer | Registered representative | Sep 2024 (2y) | ||
| Christopher Reno | Registered representative | Oct 2024 (2y) | ||
| Riley Addison Gerlach | Registered representative | Oct 2024 (2y) | ||
| Jeremy Pugh | Registered representative | Oct 2024 (2y) | ||
| Tara R Lobl | Registered representative | Oct 2024 (2y) | ||
| Aidan Cusumano | Registered representative | Oct 2024 (2y) | ||
| Daniel William Kloenne | Registered representative | Oct 2024 (2y) | ||
| Jose Aguilera | Registered representative | Oct 2024 (2y) | ||
| Michael Young | Registered representative | Oct 2024 (2y) | ||
| Tomas Zimmermann | Registered representative | Oct 2024 (2y) | ||
| Ryan Fuell | Registered representative | Oct 2024 (2y) | ||
| Travis Christian | Registered representative | Oct 2024 (2y) | ||
| Krista Shoemaker | Registered representative | Nov 2024 (2y) | ||
| Alexander Fetherland | Registered representative | Nov 2024 (2y) | ||
| Kahina Kherbouche | Registered representative | Nov 2024 (2y) | ||
| Alexis Abanto Wolf | Registered representative | Nov 2024 (2y) | ||
| Karen Warner | Registered representative | Nov 2024 (2y) | ||
| Jeromy A Ehlman | Registered representative | Dec 2024 (2y) | ||
| John Payton | Registered representative | Dec 2024 (2y) | ||
| Alena Hontarava | Registered representative | Dec 2024 (2y) | ||
| Jocelyn Schultz | Registered representative | Jan 2025 (2y) | ||
| Lauren Lubben | Registered representative | Jan 2025 (2y) | ||
| Jacob Thomas Cordonnier | Registered representative | Jan 2025 (2y) | ||
| Jamie Gaballa | Registered representative | Jan 2025 (2y) | ||
| Raymond Cecil Shoup | Registered representative | Jan 2025 (2y) | ||
| Faith Lamere Richards | Registered representative | Feb 2025 (1y) | ||
| Derek Sullivan | Registered representative | Feb 2025 (1y) | ||
| Tracy Scott | Registered representative | Feb 2025 (1y) | ||
| Zane Couch | Registered representative | Feb 2025 (1y) | ||
| Steven G Schnell | Registered representative | Feb 2025 (1y) | ||
| John Michael Mousel | Registered representative | CFP | Mar 2025 (1y) | |
| Jacob Beddow | Registered representative | Mar 2025 (1y) | ||
| Sarah M Maxim | Registered representative | Mar 2025 (1y) | ||
| Melanie K Chakos | Registered representative | Mar 2025 (1y) | ||
| Jacob Anthony Gammon | Registered representative | Mar 2025 (1y) | ||
| Jonathan Knight | Registered representative | Apr 2025 (1y) | ||
| Cameron Lizotte | Registered representative | Apr 2025 (1y) | ||
| Robert Edward Kollar | Registered representative | Apr 2025 (1y) | ||
| George N Dogandjiev | Registered representative | Apr 2025 (1y) | ||
| Daniel Duster | Registered representative | Apr 2025 (1y) | ||
| Joshua Dowell | Registered representative | Apr 2025 (1y) | ||
| Kimberly A Mitchell | Registered representative | Apr 2025 (1y) | ||
| Breanna Lawson | Registered representative | Apr 2025 (1y) | ||
| Kathryn Deters | Registered representative | Apr 2025 (1y) | ||
| Morgan Dallas Pinkston | Registered representative | Apr 2025 (1y) | ||
| Chris Galbraith | Registered representative | Apr 2025 (1y) | ||
| Jonathan Lang Burton | Registered representative | Apr 2025 (1y) | ||
| Alexandra Lynn Herd | Registered representative | May 2025 (1y) | ||
| Andrew Barney | Registered representative | May 2025 (1y) | ||
| Jason Zardavets | Registered representative | May 2025 (1y) | ||
| Kristopher Mcknight | Registered representative | May 2025 (1y) | ||
| Amanda M Soloway | Registered representative | May 2025 (1y) | ||
| Erica Wilson | Registered representative | May 2025 (1y) | ||
| Henry R Heidrich | Registered representative | May 2025 (1y) | ||
| Jeremy Ramsey | Registered representative | May 2025 (1y) | ||
| Patricia Delgado | Registered representative | May 2025 (1y) | ||
| Mirko Reithofer | Registered representative | CFP | May 2025 (1y) | |
| Shawn Johnston | Registered representative | May 2025 (1y) | ||
| Kevin Wheeler | Registered representative | May 2025 (1y) | ||
| Nathan Honigford | Registered representative | May 2025 (1y) | ||
| Chad Anderson | Registered representative | May 2025 (1y) | ||
| Cassie Taryn Siler | Registered representative | May 2025 (1y) | ||
| Dawn Thompson | Registered representative | May 2025 (1y) | ||
| Michael Palmer | Registered representative | May 2025 (1y) | ||
| Alyshia Webb | Registered representative | Jun 2025 (1y) | ||
| Jonathan Young Joon Chung | Registered representative | Jun 2025 (1y) | ||
| Clay Alan Tarro | Registered representative | Jun 2025 (1y) | ||
| Chad Finch | Registered representative | Jun 2025 (1y) | ||
| Collin Hobert | Registered representative | Jun 2025 (1y) | ||
| Kayla Stevens | Registered representative | Jun 2025 (1y) | ||
| Erica Parsons | Registered representative | Jul 2025 (1y) | ||
| Thomas Edward Peluse | Registered representative | Jul 2025 (1y) | ||
| Matthew W. Palmere | Registered representative | Jul 2025 (1y) | ||
| Eric Seth Berman | Registered representative | Jul 2025 (1y) | ||
| Austin Houser | Registered representative | Jul 2025 (1y) | ||
| Frank Rangel | Registered representative | Jul 2025 (1y) | ||
| Ranjini Pathak | Registered representative | Jul 2025 (1y) | ||
| Jeremy Southworth | Registered representative | Aug 2025 (1y) | ||
| Jacob Craig | Registered representative | Aug 2025 (1y) | ||
| Jacob Secter | Registered representative | Aug 2025 (1y) | ||
| Steven Wong | Registered representative | Aug 2025 (1y) | ||
| Johnathan Mantila | Registered representative | Aug 2025 (1y) | ||
| Kathy Kirkman Sperry | Registered representative | Aug 2025 (1y) | ||
| Sergio Ayo | Registered representative | Aug 2025 (1y) | ||
| Brook P Kramer | Registered representative | Aug 2025 (1y) | ||
| Axel Contreras Luevano | Registered representative | Aug 2025 (1y) | ||
| Karen Joyce Anson | Registered representative | Aug 2025 (1y) | ||
| Mark Goldman | Registered representative | Aug 2025 (1y) | ||
| Nicholas Mcrandal | Registered representative | Aug 2025 (1y) | ||
| William P Peet | Registered representative | Aug 2025 (1y) | ||
| Jay M Natkow | Registered representative | Aug 2025 (1y) | ||
| Mark Medina | Registered representative | Aug 2025 (1y) | ||
| Angela Holmes | Registered representative | Sep 2025 (1y) | ||
| David Burkhardt | Registered representative | Sep 2025 (1y) | ||
| Kirsten O'neil | Registered representative | Sep 2025 (1y) | ||
| Eric James Silsby | Registered representative | Sep 2025 (1y) | ||
| Brett Oconnor | Registered representative | Sep 2025 (1y) | ||
| Alfonso Ruiz | Registered representative | Sep 2025 (1y) | ||
| Kristin Nederveld | Registered representative | Sep 2025 (1y) | ||
| Rasahn Reynolds | Registered representative | Sep 2025 (1y) | ||
| Melody Herald | Registered representative | Sep 2025 (1y) | ||
| Samuel Bryant | Registered representative | Sep 2025 (1y) | ||
| Teresa S Covey | Registered representative | Sep 2025 (1y) | ||
| Mitchell James Smith | Registered representative | Oct 2025 (1y) | ||
| Eric Rogers | Registered representative | Oct 2025 (1y) | ||
| Miles W Thayer | Registered representative | Oct 2025 (1y) | ||
| Leah Garland | Registered representative | Oct 2025 (1y) | ||
| Sean Tomas Fitzgerald | Registered representative | Oct 2025 (1y) | ||
| Ameesh Monal Mehta | Registered representative | Oct 2025 (1y) | ||
| David Ricardo Rodriguez Lozada | Registered representative | Oct 2025 (1y) | ||
| Abigail Bohnert | Registered representative | Oct 2025 (1y) | ||
| Samuel Schroder | Registered representative | Oct 2025 (1y) | ||
| Jessica Jones | Registered representative | Oct 2025 (1y) | ||
| Jeffrey Weronick | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| John P Mcdaniel | Registered representative | Oct 2025 (1y) | ||
| Jermeir Lechet Jackson Stroud | Registered representative | Oct 2025 (1y) | ||
| Brittney Gentry | Registered representative | Nov 2025 (1y) | ||
| Megan Cherie Boston Wood | Registered representative | Nov 2025 (1y) | ||
| Patricia A Gomes | Registered representative | Nov 2025 (1y) | ||
| Cody O'connor | Registered representative | Nov 2025 (1y) | ||
| Lucero Ramirez | Registered representative | Nov 2025 (1y) | ||
| Mark Andrew Mchenry | Registered representative | Nov 2025 (1y) | ||
| Jenniffer Ann Young | Registered representative | Nov 2025 (1y) | ||
| Maged Hanna | Registered representative | Nov 2025 (1y) | ||
| Miguel Arnaldo Ricardo Quinones | Registered representative | Dec 2025 (1y) | ||
| Joseph Brinker | Registered representative | Dec 2025 (1y) | ||
| Michael Robert Trent Sherrod | Registered representative | Dec 2025 (1y) | ||
| Nathaniel James Hasto | Registered representative | Dec 2025 (1y) | ||
| Kelly Sever | Registered representative | Dec 2025 (1y) | ||
| Tate Carnicom | Registered representative | Dec 2025 (1y) | ||
| Caedmon Vantil | Registered representative | Jan 2026 (1y) | ||
| Rose A Beisner | Registered representative | Jan 2026 (1y) | ||
| Andrew Jones | Registered representative | Jan 2026 (1y) | ||
| Jonas Hughey Reid | Registered representative | Jan 2026 (1y) | ||
| Robert Ray Wisneski | Registered representative | Jan 2026 (1y) | ||
| Elida Zeneli | Registered representative | Feb 2026 (0y) | ||
| Jason Christopher Klein | Registered representative | Feb 2026 (0y) | ||
| Ian Kearne Shrivastava | Registered representative | Feb 2026 (0y) | ||
| Clayton Schindley | Registered representative | Feb 2026 (0y) | ||
| Ethan Pendry | Registered representative | Feb 2026 (0y) | ||
| Elizabeth Roman | Registered representative | Feb 2026 (0y) | ||
| Matthew Allen Petersen | Registered representative | Feb 2026 (0y) | ||
| Frank E Bugaris | Registered representative | Mar 2026 (0y) | ||
| Patrick Dalton | Registered representative | Mar 2026 (0y) | ||
| Cameran Mckenry | Registered representative | Mar 2026 (0y) | ||
| Christian Delane Potts | Registered representative | Mar 2026 (0y) | ||
| Karina Elizabeth Romero | Registered representative | Mar 2026 (0y) | ||
| James Kenneth Ferry | Registered representative | Mar 2026 (0y) | ||
| Christopher Michael Parnitzke | Registered representative | Mar 2026 (0y) | ||
| Florence Benjamin Isaac | Registered representative | Apr 2026 (0y) | ||
| Tyler Banyasz | Registered representative | Apr 2026 (0y) | ||
| Timothy Thomas Reynolds | Registered representative | Apr 2026 (0y) | ||
| Vernos Kenneth Williams | Registered representative | Apr 2026 (0y) | ||
| Jennifer Larsen | Registered representative | Apr 2026 (0y) | ||
| Kelly Osorio | Registered representative | Apr 2026 (0y) | ||
| Jacob Parsley | Registered representative | Apr 2026 (0y) | ||
| Austen Routte | Registered representative | Apr 2026 (0y) | ||
| Derek M Hannahs | Registered representative | May 2026 (0y) | ||
| Nathan Scott Smith | Registered representative | May 2026 (0y) | ||
| Isabella Barone | Registered representative | May 2026 (0y) | ||
| Brandon Walters | Registered representative | May 2026 (0y) | ||
| Manuel Enrique Bello | Registered representative | May 2026 (0y) | ||
| Rachel Gilchrist | Registered representative | May 2026 (0y) | ||
| Aaron J. Royce | Registered representative | May 2026 (0y) | ||
| Gabriela Careaga Lopez | Registered representative | May 2026 (0y) | ||
| Gerald Trent Mattingly | Registered representative | May 2026 (0y) | ||
| Andrew Michael Clark | Registered representative | May 2026 (0y) | ||
| Rhen Biggs | Registered representative | May 2026 (0y) | ||
| Todd Mitchell Sams | Registered representative | May 2026 (0y) | ||
| Jacob Buckmaster | Registered representative | Jun 2026 (0y) | ||
| Carson Robert Hosier | Registered representative | Jun 2026 (0y) | ||
| Ahmad Grays | Registered representative | Jun 2026 (0y) | ||
| Quentin Hale | Registered representative | Jun 2026 (0y) | ||
| Robert George Wack | Registered representative | CFP | Jun 2026 (0y) | |
| Clay Currigan | Registered representative | Jun 2026 (0y) | ||
| Carolina Bentancort Moreira | Registered representative | Jun 2026 (0y) | ||
| Corie Basham | Registered representative | Jun 2026 (0y) | ||
| James Alexander Mollison | Registered representative | Jun 2026 (0y) | ||
| Rachel Kim | Registered representative | Jun 2026 (0y) | ||
| Tyler Trimble | Registered representative | Jun 2026 (0y) | ||
| Justin Stevenson | Registered representative | Jul 2026 (0y) | ||
| Robert William Dean | Registered representative | Jul 2026 (0y) | ||
| Marshall Redmon | Registered representative | Jul 2026 (0y) | ||
| Kirsten Ford | Registered representative | Jul 2026 (0y) | ||
| Christopher Andrew Fallat | Registered representative | Jul 2026 (0y) | ||
| Andrew Albert Fries | Registered representative | Jul 2026 (0y) | ||
| Andy Nguyen | Registered representative | Jul 2026 (0y) | ||
| Brandon David Mccauley | Registered representative | Jul 2026 (0y) | ||
| Claire Santiago Marsh | Registered representative | Jul 2026 (0y) | ||
| Christy Sue Manthei | Registered representative | Jul 2026 (0y) | ||
| Donald Joseph Accardo | Registered representative | Jul 2026 (0y) | ||
| Doyle Jeffrey Mosley | Registered representative | Jul 2026 (0y) | ||
| Farooq Imam | Registered representative | Jul 2026 (0y) | ||
| Georgia Sclavos | Registered representative | Jul 2026 (0y) | ||
| Gregory J Leyden | Registered representative | Jul 2026 (0y) | ||
| Ione M Dawe | Registered representative | Jul 2026 (0y) | ||
| Jaclyn M Mullica | Registered representative | Jul 2026 (0y) | ||
| John E Minni | Registered representative | Jul 2026 (0y) | ||
| Jonathan Boyd Keen | Registered representative | Jul 2026 (0y) | ||
| Jennifer Christine Allison | Registered representative | Jul 2026 (0y) | ||
| Juan Manuel Hernandez | Registered representative | Jul 2026 (0y) | ||
| Mary D Hall | Registered representative | Jul 2026 (0y) | ||
| Michael Robert Glaza | Registered representative | Jul 2026 (0y) | ||
| Michael Jon Brown | Registered representative | Jul 2026 (0y) | ||
| Miguel R. Wodkowski | Registered representative | Jul 2026 (0y) | ||
| Pamela Ruth Byrd | Registered representative | Jul 2026 (0y) | ||
| Philip Andrew Sanchez | Registered representative | Jul 2026 (0y) | ||
| Raymond John Regala | Registered representative | Jul 2026 (0y) | ||
| Robert L Nagy | Registered representative | Jul 2026 (0y) | ||
| Robert P Gluch | Registered representative | Jul 2026 (0y) | ||
| Scott David Anderson | Registered representative | CFP | Jul 2026 (0y) | |
| Steven Robert Shaw | Registered representative | CFP | Jul 2026 (0y) | |
| Samuel Wright Wilson | Registered representative | Jul 2026 (0y) | ||
| Stacy Lynn Blake | Registered representative | Jul 2026 (0y) | ||
| Thomas James Leonard | Registered representative | Jul 2026 (0y) | ||
| Armin Hrncic | Registered representative | Chartered Financial Consultant | Jul 2026 (0y) | |
| Diane Dawson Giddens | Registered representative | Jul 2026 (0y) | ||
| Dennis Serio | Registered representative | Jul 2026 (0y) | ||
| Jerry Mitchell Positeri | Registered representative | Jul 2026 (0y) | ||
| Jarred Height Kaplan | Registered representative | Jul 2026 (0y) | ||
| Joseph Paul Ransley | Registered representative | Jul 2026 (0y) | ||
| Laura Scroi Armstrong | Registered representative | CFP CFA | Jul 2026 (0y) | |
| Nadia George Daoud | Registered representative | Jul 2026 (0y) | ||
| Robin A Schirs | Registered representative | Jul 2026 (0y) | ||
| Rahul Karugapadam | Registered representative | Jul 2026 (0y) | ||
| Stephen Paul Kearns | Registered representative | Jul 2026 (0y) | ||
| Saimir Astrit Prapaniku | Registered representative | CFP | Jul 2026 (0y) | |
| Timothy Jay Swanson | Registered representative | Jul 2026 (0y) | ||
| Tricia Lyn Dekiere | Registered representative | Jul 2026 (0y) | ||
| Brittany Mcneally | Registered representative | Jul 2026 (0y) | ||
| Ethan Paul Kearns | Registered representative | Jul 2026 (0y) | ||
| Jerry Laroy Parker | Registered representative | Jul 2026 (0y) | ||
| Kob Yan | Registered representative | Jul 2026 (0y) | ||
| Monalisa D Cottingham | Registered representative | Jul 2026 (0y) | ||
| Vincent Joseph Pamelia | Registered representative | Jul 2026 (0y) | ||
| Andrew Patterson | Registered representative | Jul 2026 (0y) | ||
| Anton Berishaj | Registered representative | Jul 2026 (0y) | ||
| Jennifer Jean Bassett | Registered representative | Jul 2026 (0y) | ||
| Kristofer R Sztein | Registered representative | CFP | Jul 2026 (0y) | |
| Matthew Joseph Browne | Registered representative | Jul 2026 (0y) | ||
| Paul James Tepatti | Registered representative | Jul 2026 (0y) | ||
| Patrick S Durham | Registered representative | Jul 2026 (0y) | ||
| Alexis Beasley | Registered representative | Jul 2026 (0y) | ||
| David William Gauhs | Registered representative | Jul 2026 (0y) | ||
| Howard Andrew Swanfeldt | Registered representative | Jul 2026 (0y) | ||
| Kyle S Rademaker | Registered representative | Jul 2026 (0y) | ||
| Kevin M Davis | Registered representative | Jul 2026 (0y) | ||
| Thomas Nicholas Ternes | Registered representative | Jul 2026 (0y) | ||
| Anthony William Geis | Registered representative | Jul 2026 (0y) | ||
| Kelly Wayne Odean | Registered representative | Jul 2026 (0y) | ||
| Moritz C Mews | Registered representative | Jul 2026 (0y) | ||
| Marques J Dickson | Registered representative | CFP | Jul 2026 (0y) | |
| Victor Michael Sanchez | Registered representative | Jul 2026 (0y) | ||
| William Seago | Registered representative | CFP | Jul 2026 (0y) | |
| Julie Ann Shemanski | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Fifth Third Bank, National Association | Owner | Jun 1998 | A | 75% or more |
| Fifth Third Financial Corporation | Shareholder | Jun 1998 | B | ≈ 56.25% – 100% via Fifth Third Bank, National Association |
| Fifth Third Bancorp | Shareholder | Jun 1998 | B | ≈ 42.19% – 100% via Fifth Third Financial Corporation |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Fifth Third Financial Corporation: 75% – 100% of Fifth Third Bank, National Association × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Fifth Third Bancorp: 75% – 100% of Fifth Third Financial Corporation × 75% – 100% of Fifth Third Bank, National Association × 75% – 100% direct ≈ 42.19% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/14/2026 | 1.9 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.E(2)
as of Oct 09, 2024
Allegations: 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 SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ENSURE THAT CUSTOMERS RECEIVED SALES CHARGE DISCOUNTS ON ALL ELIGIBLE UIT PURCHASES IN VIOLATION OF NASD CONDUCT RULE 3010 AND FINRA RULE 2010. Status: Final Sanction Detail: FINRA FINED FIFTH THIRD SECURITIES, INC. $300,000. AS OF OCTOBER 21, 2015 THIS FINE HAS BEEN PAID.
Regulatory · Item 11.E(2)
as of Oct 09, 2024
Allegations: 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 APPROXIMATELY 77% OF A SAMPLE SET OF 250 VARIABLE ANNUITY EXCHANGES RANDOMLY SELECTED AND REVIEWED BY FINRA FROM AMONG 1,431 VARIABLE ANNUITY EXCHANGES. MISSTATEMENTS AND OMMISSIONS ABOUT THE COST OR BENEFITS OF THE VARIABLE EXCHANGE MADE THE EXCHANGE APPEAR MORE BENEFICIAL TO THE CUSTOMER. FTS ALSO FAILED TO IMPLEMENT A SUPERVISORY STRUCTURE REASONABLY DESIGNED TO ENSURE THAT ITS REGISTERED REPRESENTATIVES OBTAINED AND ASSESSED ACCURATE INFORMATION ABOUT THE CUSTOMER'S EXISTING AND PROPOSED VARIABLE ANNUITIES PRIOR TO EFFECTING THE EXCHANGES. Status: Final Sanction Detail: FINRA FINED FIFTH THIRD SECURITIES, INC. $4,000,000, WHICH WAS PAID ON MAY 16, 2018. $2,000,000 WAS PAID BY FIFTH THIRD SECURITIES, INC. TO APPLICABLE CUSTOMERS WHO HAD A VARIABLE ANNUITY EXCHANGE BETWEEN 2013-2015 IN JULY 2018.
Regulatory
as of Oct 09, 2024
Allegations: 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 AS A RESULT, FAILED TO FORM A REASONABLE BASIS FOR BELIEVING THE TRUTHFULNESS OF CERTAIN MATERIAL REPRESENTATIONS IN AN OFFICIAL STATEMENT ISSUED IN CONNECTION WITH THIS OFFERING. THIS RESULTED IN FIFTH THIRD SECURITIES, INC. OFFERING AND SELLING MUNICIPAL SECURITIES ON THE BASIS OF A MATERIALLY MISLEADING DISCLOSURE DOCUMENT. AS A RESULT OF THE CONDUCT, FIFTH THIRD SECURITIES, INC. WILLFULLY VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT. THE VIOLATION WAS SELF-REPORTED BY FIFTH THIRD SECURITIES, INC. TO THE U.S. SECURITIES AND EXCHANGE COMMISSION PURSUANT TO THE DIVISION OF ENFORCEMENT'S MUNICIPALITIES CONTINUING DISCLOSURE COOPERATION INITIATIVE. Status: Final Sanction Detail: FINE AMOUNT OF $20,000.00 AGAINST FIFTH THIRD SECURITIES, INC. WAS PAID ON OCTOBER 6, 2015.
Regulatory
as of Oct 09, 2024
Allegations: FAILURE TO COMPLY WITH EXCHANGE ACT RULE 15C2-12 WHEN PARTICIPATING AS A SOLE UNDERWRITER IN CERTAIN PRIMARY OFFERINGS OF MUNICIPAL SECURITIES. Status: Final Sanction Detail: FINE $200,000.00, DISGORGEMENT OF $442,465.59, AND PREJUDGMENT INTEREST OF $67,506.09. PAYMENT WAS MADE 07/19/2023. Summary: THESE PROCEEDINGS INVOLVE FIFTH THIRD'S FAILURE TO COMPLY WITH EXCHANGE ACT RULE 15C2-12 ("RULE 15C2-12" OR THE "RULE") WHEN PARTICIPATING AS AN UNDERWRITER IN CERTAIN PRIMARY OFFERINGS OF MUNICIPAL SECURITIES. THE RULE GENERALLY REQUIRES UNDERWRITERS, IN PRIMARY OFFERINGS OF $1 MILLION OR MORE, TO OBTAIN DISCLOSURE DOCUMENTS FROM ISSUERS AND TO REASONABLY DETERMINE THAT THE ISSUER OF THE MUNICIPAL SECURITIES OR AN OBLIGATED PERSON HAS UNDERTAKEN TO PROVIDE CERTAIN INFORMATION PERTAINING TO THE OFFERED SECURITIES ON A CONTINUING BASIS TO THE MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB"). THIS UNDERTAKING IS COMMONLY REFERRED TO AS A "CONTINUING DISCLOSURE UNDERTAKING" OR A "CONTINUING DISCLOSURE AGREEMENT." CONTINUING DISCLOSURES ENABLE INVESTORS IN MUNICIPAL SECURITIES IN THE SECONDARY MARKET TO MAKE INFORMED INVESTMENT DECISIONS AND TO PROTECT THEMSELVES FROM MISREPRESENTATIONS OR OTHER FRAUDULENT ACTIVITIES BY BROKERS, DEALERS AND MUNICIPAL SECURITIES DEALERS. RULE 15C2-12 INCLUDES AN EXEMPTION FOR LIMITED OFFERINGS OF MUNICIPAL SECURITIES PLACED WITH A SMALL NUMBER OF SOPHISTICATED INVESTORS WITH INVESTMENT INTENT. UNDERWRITERS PARTICIPATING IN OFFERINGS OF MUNICIPAL SECURITIES ISSUED IN DENOMINATIONS OF $100,000 OR MORE THAT ARE SOLD TO NO MORE THAN THIRTY-FIVE PERSONS ARE EXEMPT FROM THE RULE'S REQUIREMENTS IF THE UNDERWRITERS HAVE A REASONABLE BELIEF THAT EACH PURCHASER: (1) HAS SUCH KNOWLEDGE AND EXPERIENCE IN FINANCIAL AND BUSINESS MATTERS THAT IT IS CAPABLE OF EVALUATING THE MERITS AND RISKS OF THE INVESTMENT; AND (2) IS NOT PURCHASING THE SECURITIES FOR MORE THAN ONE ACCOUNT OR WITH A VIEW TO DISTRIBUTING THE SECURITIES. FROM MARCH 2018 TO SEPTEMBER 2022, FIFTH THIRD, WHILE SERVING AS SOLE UNDERWRITER FOR 79 LIMITED OFFERINGS, SOLD SECURITIES TO BROKER-DEALERS AND CERTAIN INVESTMENT ADVISERS WITHOUT A REASONABLE BELIEF THAT THE BROKER-DEALERS AND INVESTMENT ADVISERS WERE PURCHASING THE SECURITIES FOR INVESTMENT AS REQUIRED UNDER RULE 15C2-12(D)(1)(I). MOREOVER, FIFTH THIRD LACKED POLICIES AND PROCEDURES REASONABLY DESIGNED TO DETERMINE IF PURCHASERS SATISFIED THE EXEMPTION'S REQUIREMENTS. AS A RESULT, FIFTH THIRD VIOLATED RULE 15C2-12, AS WELL AS MSRB RULE G-27, WHICH REQUIRES MUNICIPAL SECURITIES UNDERWRITERS TO ADOPT, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH RULE 15C2-12. FIFTH THIRD ALSO VIOLATED SECTION 15B(C)(1) OF THE EXCHANGE ACT BY FAILING TO COMPLY WITH THE MSRB RULE.
Regulatory
as of Oct 09, 2024
Allegations: 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 COMMUNICATIONS. RESPONDENT'S FAILURE WAS FIRM-WIDE, AND INVOLVED EMPLOYEES AT VARIOUS LEVELS OF AUTHORITY. AS A RESULT, FIFTH THIRD VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER. Status: Final Sanction Detail: FIFTH THIRD SECURITIES TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER. FIFTH THIRD SECURITIES TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 204 OF THE ADVISERS ACT AND RULE 204-2 THEREUNDER. FIFTH THIRD SECURITIES WAS CENSURED. ADDITIONALLY, FIFTH THIRD SECURITIES IS REQUIRED TO HIRE A COMPLIANCE CONSULTANT TO ASSESS FIFTH THIRD SECURITIES' PROGRAM FOR THE PRESERVATION, AS REQUIRED UNDER THE FEDERAL SECURITIES LAWS, OF ELECTRONIC COMMUNICATIONS, INCLUDING THOSE FOUND ON PERSONAL DEVICES, COMMENCING ONE YEAR AFTER SUBMITTING THE A REPORT REQUIRED BY THE ENFORCEMENT. FIFTH THIRD SECURITIES IS REQUIRED TO HAVE THIS REVIEW TO EVALUATE FIFTH THIRD SECURITIES' PROGRESS IN THE AREAS DESCRIBED IN THE UNDERTAKINGS OF THE SEC ORDER. THE COMPLIANCE CONSULTANT IS TO SUBMIT A REPORT (THE "ONE YEAR REPORT") TO FIFTH THIRD SECURITIES AND THE SEC COMMISSION STAFF AND SHALL ENSURE THAT THE ONE YEAR REPORT INCLUDES AN UPDATED ASSESSMENT OF FIFTH THIRD'S POLICIES AND PROCEDURES WITH REGARD TO THE PRESERVATION OF ELECTRONIC COMMUNICATIONS (INCLUDING THOSE FOUND ON PERSONAL DEVICES), TRAINING, SURVEILLANCE PROGRAMS, AND TECHNOLOGICAL SOLUTIONS IMPLEMENTED IN THE PRIOR YEAR PERIOD. CIVIL MONEY PENALTY OF $8,000,000 WAS PAID TO THE SEC ON OCTOBER 4, 2023. Summary: CIVIL MONEY PENALTY OF $8,000,000 WAS PAID TO THE SEC ON OCTOBER 4, 2023.
Regulatory · Item 11.E(2)
as of Oct 09, 2024
Allegations: 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 FRONT-END SALES CHARGE ("ELIGIBLE CUSTOMERS"). THESE ELIGIBLE CUSTOMERS WERE INSTEAD SOLD CLASS A SHARES WITH A FRONT-END SALES CHARGE OR CLASS B OR C WITH BACK-END SALES CHARGES AND HIGHER ONGOING FEES AND EXPENSES. DURING THIS PERIOD, FTS FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND PROCEDURES REASONABLY DESIGNED TO ENSURE THAT ELIGIBLE CUSTOMERS WHO PURCHASED MUTUAL FUND SHARES RECEIVED THE BENEFIT OF APPLICABLE SALES CHARGE WAIVERS. FTS ESTIMATES THAT ELIGIBLE CUSTOMERS WERE OVERCHARGED BY APPROXIMATELY $298,000 FOR MUTUAL FUND SHARES SINCE JULY 1, 2009. Status: Final Sanction Detail: FTS ESTIMATES THAT APPROXIMATELY $298,000 IS TO BE REIMBURSED TO ELIGIBLE CUSTOMERS PLUS INTEREST. THIS TOTAL AMOUNT IS CURRENTLY CALCULATED TO BE APPROXIMATELY $355,403 (SUBJECT TO CHANGE DEPENDENT UPON TIMING OF REIMBURSEMENT.
Regulatory · Item 11.D(2)
as of Oct 09, 2024
Allegations: 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. §§ 1691-1691F, AND ITS IMPLEMENTING REGULATION, REGULATION B, 12 C.F.R. PT. 1002. THE CFPB HAS IDENTIFIED THE FOLLOWING VIOLATIONS: FIFTH THIRD BANK VIOLATED THE ECOA AND REGULATION B BY PERMITTING DEALERS TO CHARGE HIGHER INTEREST RATES TO CONSUMER AUTO LOAN BORROWERS ON THE BASIS OF RACE AND NATIONAL ORIGIN. THE DOJ HAS ALLEGED THE SAME VIOLATIONS IN A CIVIL ACTION FILED IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF OHIO STYLED UNITED STATES OF AMERICA V. FIFTH THIRD BANK, FILED ON OR ABOUT SEPTEMBER 28, 2015. THE CFPB HEREBY ISSUES, PURSUANT TO SECTIONS 1053 AND 1055 OF THE CONSUMER FINANCIAL PROTECTION ACT OF 2010 (CFPA), 12 U.S.C. §§ 5563, 5565, THIS CONSENT ORDER (CONSENT ORDER) IN COORDINATION WITH THE DOJ. Status: Final Sanction Detail: FIFTH THIRD BANK IS REQUIRED TO PAY EIGHTEEN MILLION DOLLARS ($18,000,000.00)IN REDRESS TO AFFECTED CONSUMERS WHO WERE OVERCHARGED. FIFTH THIRD BANK SHALL RECEIVE A CREDIT OF NO LESS THAN FIVE MILLION DOLLARS ($5,000,000.00) AND NO MORE THAN SIX MILLION DOLLARS ($6,000,000.00) FOR REMEDIATION IT HAS ALREADY PROVIDED TO AFFECTED CONSUMERS. FIFTH THIRD BANK HAS DEPOSITED $12,000,000.00 IN AN ESCROW ACCOUNT FOR THE PURPOSE OF PROVIDING REDRESS TO AFFECTED CONSUMERS WHO WERE OVERCHARGED.
Regulatory · Item 11.D(2)
as of Oct 09, 2024
Allegations: 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, SS36. UNDER SECTIONS 1053 AND 1055 OF THE CFPA, 12 U.S.C. §§ 5563, 5565. Status: Final Sanction Detail: FIFTH THIRD BANK TO PAY A CIVIL MONEY PENALTY OF $500,000.00 TO THE CFPB. CIVIL MONEY PENALTY WAS PAID ON 10/06/2015.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $9.1B (84% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 14, 2026.
View current Form ADV (SEC/IAPD) ↗