Broker-dealer firm · Cincinnati, OH
Fifth Third Securities, Inc.
SEC-registered investment adviser · CRD 628 · SEC 801-63623
At a glance
Fifth Third Securities, Inc. is an SEC-registered investment adviser based in Cincinnati, Ohio, with $10.9 billion in regulatory assets under management as of its Form ADV filed July 14, 2026. Its largest client group by assets is individuals, and it reports 46,299 individual clients. By Form ADV it is a broker-dealer firm, ranked 64th of 391 broker-dealer firms and 1,293rd of 17,210 SEC-registered advisers by assets.
Main office 888-889-1025LinkedInAs filed on Form ADV
- Regulatory AUM
- $11B
- Rank among broker-dealer firms
- #64 of 391
- Rank among all SEC RIAs
- #1,293 of 17,210
- Rank in Ohio
- #23 of 403
- Individual clients
- 46,299
- High-net-worth clients
- 1,938
- Accounts
- 47,014
- Discretionary
- 100% of AUM
- Employees
- 13,533
- Advisory staff
- 848
- Offices
- 1,118
Owners and executives on its Form ADV
- Jarrett Andrew JacobsDirector, BD Chief Compliance Officer/ria Chief Compliance Officer
- Justin Michael OvermannDirector, Principal Operations Officer
- Ginger Michelle KellyDirector, Chief Administrative Officer - Retail
- Robert Franklin MarcusDirector, Head of Capital Markets
- Robert Albert CorsarieDirector, Head of Retail Brokerage
- Christopher Scott StratmoenDirector, Principal Financial Officer
- James Paul LudwickDirector, Executive Director of Institutional Business
- Shannon Johnson MobleyDirector, Regional Investment Manager
- Timothy LyonsDirector, Managing Director-Trading
Custody and brokerage
Broker-dealer
Hybrid RIA
Fifth Third Securities, Inc. is a hybrid RIA: 13,533 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Comerica Securities,inc..
- Comerica Securities,inc. ↗CRD 17079
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 44,361 | $8.2B | 75% |
| High-net-worth individuals | 1,938 | $2.5B | 23% |
| Pension and profit sharing plans | 524 | $151M | 1% |
| Corporations or other businesses | 167 | $90M | <1% |
| Charitable organizations | 17 | $9M | <1% |
| Pooled investment vehicles | 7 | $5M | <1% |
Disciplinary disclosures
Fifth Third Securities, Inc. answers yes to 10 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Fifth Third Securities, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 69 peers of its type and size
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- Owners and executives, with titles and stakes
- 9 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Fifth Third Securities, Inc. manage?
Fifth Third Securities, Inc. reports $10.9 billion in regulatory assets under management across 47,014 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 14, 2026.
What kind of firm is Fifth Third Securities, Inc.?
Fifth Third Securities, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Fifth Third Securities, Inc.’s clients?
By assets, its largest client types are individuals ($8.2 billion, 44,361 clients); high-net-worth individuals ($2.5 billion, 1,938 clients); pension and profit sharing plans ($151 million, 524 clients).
Does Fifth Third Securities, Inc. have any disciplinary history?
Fifth Third Securities, Inc. answers yes to 10 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Fifth Third Securities, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-14), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →