Fifth Third Securities, Inc.
Registered investment adviser · Cincinnati, OH · CRD #628
Form ADV data as of 2026-09-01Regulatory assets
$10.92 billion
Total accounts
47,014
Employees
13,533
Disclosure events
10
Firm details
- Website: https://www.linkedin.com/company/3011/
- Telephone: 888-889-1025
- SEC file number: 801-63623
- Most recent Form ADV filing: 2026-07-14
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 5 disclosure questions answered Yes, covering 10 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- Another regulator found a violation of investment-related regulations or statutes
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $10.92 billion |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $10.92 billion |
| Discretionary accounts | 47,014 |
| Non-discretionary accounts | 0 |
| Total accounts | 47,014 |
| Regulatory assets under management attributable to non-U.S. persons | $21.2 million |
People
| Total employees (excluding clerical) | 13,533 |
| Employees performing investment advisory functions (including research) | 848 |
| Employees who are registered representatives of a broker-dealer | 13,533 |
| Employees registered as investment adviser representatives with a state | 1,004 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 883 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $10.92 billion |
| Clients for whom the firm has custody | 47,014 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys securities from or sells securities to advisory clients (principal transactions)
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 44,361 | $8.17 billion |
| High net worth individuals | 1,938 | $2.50 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 7 | $5.1 million |
| Pension and profit sharing plans (not the participants or government plans) | 524 | $150.9 million |
| Charitable organizations | 17 | $8.8 million |
| Corporations or other businesses not listed above | 167 | $90.4 million |