FIFTH THIRD SECURITIES, INC.

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Also known as:

  • FIFTH III SECURITIES INC /BD
  • FIFTH THIRD SECURITIES INC\ /BD
  • FIFTH THIRD SECURITIES INC\\\OH /BD

Fifth Third Securities is based out of Cincinnati. Fifth Third Securities is a large advisory firm with 5270 clients and discretionary assets under management (AUM) of $1,007,745,932 (Form ADV from 2018-01-01). Their last reported 13F filing for Q4 2018 included $70,994,000 in managed 13F securities and a top 10 holdings concentration of 54.58%. Fifth Third Securities's largest holding is iShares Core MSCI EAFE ETF with shares held of 97,124. Whalewisdom has at least 1 13F filings

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12/31/2018

Top Sells

  • Name% Change

12/31/2018

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-02-14

Performance for Q4 2018: 2.49%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

FIFTH THIRD SECURITIES, INC.
34 FOUNTAIN SQUARE PLAZA MD 10AT42
CINCINNATI OH    45263
Country: United States

Business Phone: 888-889-1025
Fax: 513-358-1710
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: OH
Number of employees: 1333
Other Business Activities: broker-dealer,insurance broker or agent,registered municipal advisor
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 4,540,190,000
Total Number of Clients: 5270
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (2),11.C (4),11.D (2),11.E (2)
Data above was derived from SEC filings.

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FIFTH THIRD SECURITIES, INC.

ownership team - last updated 2018-12-26
Name Title Start Date Direct/Indirect % Ownership
FIFTH THIRD BANK OWNER 06/01/1998 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. OWNER direct 1998-06-01
FIFTH THIRD/MAXUS ASSET MANAGEMENT SHAREHOLDER direct 2001-01-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER direct 2017-04-01
JACOBS, JARRETT ANDREW DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. RIA CHIEF COMPLIANCE OFFICER direct 2006-06-01
FIFTH THIRD SECURITIES, INC. AML OFFICER/RIA CHIEF COMPLIANCE OFFICER direct 2006-06-01
FIFTH THIRD SECURITIES, INC. INTERIM BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER direct 2012-10-01
FIFTH THIRD SECURITIES, INC. BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER direct 2013-03-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER direct 2013-03-01
HAMMOND, HOWARD DIRECTOR, MANAGING DIRECTOR OF RETAIL 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. MANAGING DIRECTOR direct 2007-01-01
FIFTH THIRD SECURITIES, INC. MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2007-01-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, MANAGING DIRECTOR OF RETAIL direct 2007-01-01
OVERMANN, JUSTIN MICHAEL DIRECTOR, BROKERAGE OPERATIONS 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR, BROKERAGE OPERATIONS direct 2011-05-01
KELLY, GINGER MICHELLE DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR, ADMINISTRATIVE OFFICER direct 2011-03-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL direct 2011-03-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, ADMINISTRATIVE OFFICER - RETAIL direct 2011-03-01
MARCUS, ROBERT FRANKLIN DIRECTOR, MANAGING DIRECTOR OF CAPITAL MARKETS 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. HEAD OF CAPITAL MARKETS direct 2012-04-01
FIFTH THIRD SECURITIES, INC. MANAGING DIRECTOR OF CAPITAL MARKETS direct 2012-04-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, MANAGING DIRECTOR OF CAPITAL MARKETS direct 2012-04-01
BROWN, MARK EMMET DIRECTOR, FIXED INCOME SALES/TRADING - CAPITAL MARKETS 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR, ADMINISTRATOR OFFICER - CAPITAL MARKETS direct 2015-01-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, FIXED INCOME SALES/TRADING - CAPITAL MARKETS direct 2015-01-01
ANDERSON, KRISTINA LYNN CHIEF ADMINISTRATIVE OFFICER - CAPITAL MARKETS 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. CHIEF ADMINISTRATIVE OFFICER - CAPITAL MARKETS direct 2015-12-01
WATSON, KEITH GREGARY DIRECTOR, BUSINESS CONTROLS MANAGER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR, BUSINESS CONTROLS MANAGER direct 2017-07-01
LAMB, BRIAN DARYL DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR direct 2018-03-01
FIFTH THIRD FINANCIAL CORPORATION SHAREHOLDER FIFTH THIRD BANK 06/01/1998 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. SHAREHOLDER indirect 1998-06-01
FIFTH THIRD ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2001-01-01
HEARTLAND CAPITAL MANAGEMENT INC SHAREHOLDER indirect 2001-01-01
LYON STREET ASSET MANAGEMENT CO SHAREHOLDER indirect 2001-04-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER indirect 2017-04-01
FIFTH THIRD BANCORP SHAREHOLDER FIFTH THIRD FINANCIAL CORPORATION 06/01/1998 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. SHAREHOLDER indirect 1998-06-01
FIFTH THIRD ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2001-01-01
GELFAND MAXUS ASSET MANAGEMENT INC PARENT COMPANY direct 2001-01-01
LYON STREET ASSET MANAGEMENT CO SHAREHOLDER indirect 2001-01-01
HEARTLAND CAPITAL MANAGEMENT INC CORPORATE OWNER direct 2001-04-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER indirect 2017-04-01
MAXUS ASSET MANAGEMENT INC. PARENT COMPANY direct 2001-01-01 2001-04-20
HEARTLAND CAPITAL MANAGEMENT INC CORPORATE OWNER direct 1997-11-01 2002-05-02

FIFTH THIRD SECURITIES, INC.

ownership team - last updated 2018-06-12
Name Title Start Date Direct/Indirect % Ownership
FIFTH THIRD BANK OWNER 06/01/1998 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. OWNER direct 1998-06-01
FIFTH THIRD/MAXUS ASSET MANAGEMENT SHAREHOLDER direct 2001-01-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER direct 2017-04-01
JACOBS, JARRETT ANDREW DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. RIA CHIEF COMPLIANCE OFFICER direct 2006-06-01
FIFTH THIRD SECURITIES, INC. AML OFFICER/RIA CHIEF COMPLIANCE OFFICER direct 2006-06-01
FIFTH THIRD SECURITIES, INC. INTERIM BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER direct 2012-10-01
FIFTH THIRD SECURITIES, INC. BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER direct 2013-03-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER direct 2013-03-01
HAMMOND, HOWARD DIRECTOR, MANAGING DIRECTOR OF RETAIL 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. MANAGING DIRECTOR direct 2007-01-01
FIFTH THIRD SECURITIES, INC. MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER direct 2007-01-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, MANAGING DIRECTOR OF RETAIL direct 2007-01-01
OVERMANN, JUSTIN MICHAEL DIRECTOR, BROKERAGE OPERATIONS 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR, BROKERAGE OPERATIONS direct 2011-05-01
KELLY, GINGER MICHELLE DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR, ADMINISTRATIVE OFFICER direct 2011-03-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL direct 2011-03-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, ADMINISTRATIVE OFFICER - RETAIL direct 2011-03-01
MARCUS, ROBERT FRANKLIN DIRECTOR, MANAGING DIRECTOR OF CAPITAL MARKETS 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. HEAD OF CAPITAL MARKETS direct 2012-04-01
FIFTH THIRD SECURITIES, INC. MANAGING DIRECTOR OF CAPITAL MARKETS direct 2012-04-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, MANAGING DIRECTOR OF CAPITAL MARKETS direct 2012-04-01
BROWN, MARK EMMET DIRECTOR, FIXED INCOME SALES/TRADING - CAPITAL MARKETS 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR, ADMINISTRATOR OFFICER - CAPITAL MARKETS direct 2015-01-01
FIFTH THIRD SECURITIES, INC. DIRECTOR, FIXED INCOME SALES/TRADING - CAPITAL MARKETS direct 2015-01-01
ANDERSON, KRISTINA LYNN CHIEF ADMINISTRATIVE OFFICER - CAPITAL MARKETS 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. CHIEF ADMINISTRATIVE OFFICER - CAPITAL MARKETS direct 2015-12-01
WATSON, KEITH GREGARY DIRECTOR, BUSINESS CONTROLS MANAGER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR, BUSINESS CONTROLS MANAGER direct 2017-07-01
LAMB, BRIAN DARYL DIRECTOR 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. DIRECTOR direct 2018-03-01
FIFTH THIRD FINANCIAL CORPORATION SHAREHOLDER FIFTH THIRD BANK 06/01/1998 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. SHAREHOLDER indirect 1998-06-01
FIFTH THIRD ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2001-01-01
HEARTLAND CAPITAL MANAGEMENT INC SHAREHOLDER indirect 2001-01-01
LYON STREET ASSET MANAGEMENT CO SHAREHOLDER indirect 2001-04-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER indirect 2017-04-01
FIFTH THIRD BANCORP SHAREHOLDER FIFTH THIRD FINANCIAL CORPORATION 06/01/1998 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIFTH THIRD SECURITIES, INC. SHAREHOLDER indirect 1998-06-01
FIFTH THIRD ASSET MANAGEMENT, INC. SHAREHOLDER indirect 2001-01-01
GELFAND MAXUS ASSET MANAGEMENT INC PARENT COMPANY direct 2001-01-01
LYON STREET ASSET MANAGEMENT CO SHAREHOLDER indirect 2001-01-01
HEARTLAND CAPITAL MANAGEMENT INC CORPORATE OWNER direct 2001-04-01
THE RETIREMENT CORPORATION OF AMERICA SHAREHOLDER indirect 2017-04-01
MAXUS ASSET MANAGEMENT INC. PARENT COMPANY direct 2001-01-01 2001-04-20
HEARTLAND CAPITAL MANAGEMENT INC CORPORATE OWNER direct 1997-11-01 2002-05-02

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