0000073956-16-000021.txt : 20160126 0000073956-16-000021.hdr.sgml : 20160126 20160126152332 ACCESSION NUMBER: 0000073956-16-000021 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160126 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04350 FILM NUMBER: 161361398 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/A 1 primary_doc.xml MA-I/A 0000073956 XXXXXXXX JOSEPH S DAFT 513-534-6270 JOSEPH.DAFT@53.COM JOSEPH.DAFT@53.COM N Y JOHN CURTIS ADAMS 001424751 N 1 0000073956 FIFTH THIRD SECURITIES, INC. 01-15-1990 N 08-29-2014 0000073956 LOCATED SUPERVISED 01-15-1990 21 EAST STATE STREET COLUMBUS OH 43215 01-1990 FIFTH THIRD SECURITIES, INC. COLUMBUS OH 43215 Y Y MANAGING DIRECTOR-PUBLIC FINANCE Y 02-2012 CITY OF UPPER ARLINGTON 3600 TREMONT ROAD UPPER ARLINGTON OH 43221 N N MUNICIPALITY CITY COUNCIL MEMBER 6 REVIEW AND VOTE ON CITY LEGISLATION 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 01-26-2016 JOSEPH S DAFT COMPLIANCE OFFICER