AdvisorRanked
74
Some Concerns

FIFTH THIRD SECURITIES, INC.

34 FOUNTAIN SQUARE PLAZA, CINCINNATI, OH 45263
commissionSEC Registered
888-889-1025 HTTPS://WWW.LINKEDIN.COM/COMPANY/3011/ CRD #628
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$10.9B
Assets Managed
848
Clients
13533
Employees
22
Years Active
since 2004

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46154. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: Yes

This firm is affiliated with a broker-dealer, which means they may earn commissions on product sales — creating a potential conflict between their revenue and your best interest.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: Yes

This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46154

2 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 2

Complaint ratio: 0.24 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameFIFTH THIRD SECURITIES, INC.
CRD Number#628
SEC RegisteredYes
Registration Date2004-11-17
States RegisteredOH
Assets Under Management$10.9B
Number of Clients848
Employees13533
Compensation Typecommission
Last ADV Filing46154

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Frequently Asked Questions

Is FIFTH THIRD SECURITIES, INC. a fiduciary?

No. FIFTH THIRD SECURITIES, INC. is not registered as an RIA and is not legally bound by the fiduciary standard.

How does FIFTH THIRD SECURITIES, INC. charge clients?

FIFTH THIRD SECURITIES, INC. uses a commission compensation model. They also earn commissions on product sales, which may create conflicts of interest. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does FIFTH THIRD SECURITIES, INC. have any complaints?

Yes. FIFTH THIRD SECURITIES, INC. has 2 complaint(s) on record. Their complaint ratio is 0.24 per 100 clients (industry average: ~0.15).

How does FIFTH THIRD SECURITIES, INC. compare to other advisors in CINCINNATI?

FIFTH THIRD SECURITIES, INC. has a Red Flag Score of 74/100. There are 83 registered advisory firms in CINCINNATI. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46154. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.