0000073956-14-000011.txt : 20141219
0000073956-14-000011.hdr.sgml : 20141219
20141219100654
ACCESSION NUMBER: 0000073956-14-000011
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20140902
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIFTH THIRD SECURITIES, INC.
CENTRAL INDEX KEY: 0000073956
IRS NUMBER: 314122170
STATE OF INCORPORATION: OH
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-I
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04350
FILM NUMBER: 141297827
BUSINESS ADDRESS:
STREET 1: 34 FOUNTAIN SQUARE PLAZA
STREET 2: MD 10AT42
CITY: CINCINNATI
STATE: OH
ZIP: 45202
BUSINESS PHONE: 513-534-7421
MAIL ADDRESS:
STREET 1: 38 FOUNTAIN SQUARE PLAZA
STREET 2: MD 10AT42
CITY: CINCINNATI
STATE: OH
ZIP: 45263
FORMER COMPANY:
FORMER CONFORMED NAME: FIFTH III SECURITIES INC /BD
DATE OF NAME CHANGE: 20020207
FORMER COMPANY:
FORMER CONFORMED NAME: FIFTH THIRD SECURITIES INC\ /BD
DATE OF NAME CHANGE: 20011219
FORMER COMPANY:
FORMER CONFORMED NAME: FIFTH THIRD SECURITIES INC\\\OH /BD
DATE OF NAME CHANGE: 20011018
MA-I
1
primary_doc.xml
MA-I
0000073956
XXXXXXXX
JOSEPH S DAFT
513-534-6270
JOSEPH.DAFT@53.COM
JOSEPH.DAFT@53.COM
N
ANDREW
JOACHIM
BROSSART
003144007
Y
1
0000073956
FIFTH THIRD SECURITIES, INC.
02-01-2005
N
08-29-2014
0000073956
LOCATED
SUPERVISED
02-01-2005
34 FOUNTAIN SQUARE PLAZA
MD 10AT42
CINCINNATI
OH
45202
02-2005
FIFTH THIRD SECURITIES, INC
CINCINNATI
OH
45202
Y
Y
PUBLIC FINANCE BANKER
09-1998
01-2005
SEASONGOOD AND MAYER
CINCINNATI
OH
45202
Y
Y
PUBLIC FINANCE BANKER
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
09-02-2014
JOSEPH S. DAFT
COMPLIANCE OFFICER