0000073956-14-000013.txt : 20141219
0000073956-14-000013.hdr.sgml : 20141219
20141219100637
ACCESSION NUMBER: 0000073956-14-000013
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: 141297825
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
MARVIN
LEE
FOUNDS
001461403
Y
1
0000073956
FIFTH THIRD SECURITIES, INC.
10-07-2013
N
08-29-2014
0000073956
LOCATED
SUPERVISED
10-07-2013
21 EAST STATE STREET
COLUMBUS
OH
43215
10-2013
FIFTH THIRD SECURITIES, INC.
COLUMBUS
OH
43215
Y
Y
PUBLIC FINANCE BANKER
03-2009
09-2013
STIFEL NICOLAUS & CO INC
COLUMBUS
OH
43215
Y
Y
PUBLIC FINANCE
11-2007
03-2009
WACHOVIA CAPITAL MARKETS, LLC
COLUMBUS
OH
43215
Y
Y
PUBLIC FINANCE
08-2005
03-2009
A.G. EDWARDS & SONS, INC.
COLUMBUS
OH
43215
Y
Y
INVESTMENT BANKER
03-2000
07-2005
UPPER ARLINGTON SCHOOLS
UPPER ARLINGTON
OH
43212
N
N
TREASURER
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