Fifth Third Securities, Inc.
Firm details
- Headquarters
- Cincinnati, Ohio
- CRD number
- 628
- Registered since
- November 17, 2004
- Website
- www.53.com
- Custodians
- NATIONAL FINANCIAL SERVICES LLC
- Fee structure
- Percentage of AUM
- Client types
- Individuals74.76%
- HNWI22.91%
- Pension & Profit Sharing Plans1.38%
- Corporations / Businesses0.83%
- Charitable Organizations0.08%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other Advisers
Firm profile
FINTRXOverview
Fifth Third Securities, Inc. operates as a corporate broker-dealer and insurance broker with registered municipal advisory capabilities. The firm provides fee-based portfolio management and financial planning across individual, family and institutional client segments, and it also acts as a selector of third‑party investment managers. Its business model blends brokerage and insurance distribution with advisory services; fees are charged as a percentage of assets under management. Fifth Third Securities reports being an active ESG investor and has been SEC‑registered since 2004. The firm does not position itself as a capital allocator.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities67%
- Public Funds/Mutual Funds30%
- Cash & Cash Equivalents3%
Owners & executives
3 of 3
Peter Samboul
CEOCRD 4887671
Jarrett Jacobs
Chief Compliance OfficerCRD 3190249
John Westerfield
Chief Investment OfficerCRD 7581662
Contacts
3 of 1464
Kourosh Kamy
Investment AdviserCRD 7715175
Christopher Fallat
Registered RepresentativeCRD 7250056
John Marian
Managing DirectorCRD 4025643
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 443Active vs passive
$2.1B in ETFs
84%
$1.8B
12%
$331M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO QQQ TRUST SERIES 1 (QQQ) | Invesco | Passive | Large Growth | $78.1M | 106,108 | 3.73% |
Location
Cincinnati, OH
Hamilton
Location
Cincinnati, OH
Headquartered in Cincinnati, OH, anchoring the Cincinnati-Wilmington-Maysville, OH-KY-IN metro in the Midwest.
- Metro area
- Cincinnati-Wilmington-Maysville, OH-KY-IN
- Region
- Midwest
- County
- Hamilton
- Address
- 34 Fountain Square Plz
- Time zone
- ET (UTC-5)
- Office locations
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