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