Compliance Officer

0000073956-24-000041.txt : 20240924 0000073956-24-000041.hdr.sgml : 20240924 20240924113703 ACCESSION NUMBER: 0000073956-24-000041 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20240913 DATE AS OF CHANGE: 20240924 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIFTH THIRD SECURITIES, INC. CENTRAL INDEX KEY: 0000073956 ORGANIZATION NAME: IRS NUMBER: 314122170 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-01273 FILM NUMBER: 241318370 BUSINESS ADDRESS: STREET 1: 34 FOUNTAIN SQUARE PLAZA STREET 2: MD 1090AM CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 513-534-7421 MAIL ADDRESS: STREET 1: 38 FOUNTAIN SQUARE PLAZA STREET 2: MD 1090AM 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/A 1 primary_doc.xml MA/A 0000073956 XXXXXXXX Joseph S Daft 513-534-6270 joseph.daft@53.com joseph.daft@53.com kimberly.donovan@53.com FIFTH THIRD SECURITIES, INC. 628 31-4122170 866-00636-00 867-01273 008-2428 628 801-63623 628 34 FOUNTAIN SQUARE PLAZA MD 1090AM CINCINNATI OH 45202 513-534-7421 Add 222 S. RIVERSIDE PLAZA CHICAGO IL 60606 3127045912 Add 50 Rockefeller Plaza New York NY 10020 212-257-4500 Add 3344 Peachtree Road NE Atlanta GA 30326 4049371350 Add 2122574509 Add 212-301-2700 N https://www.53.com Jarrett Andrew Jacobs

38 Fountain Square Plaza MD 1090AM Cincinnati OH 45263

513-534-7421 513-534-7159 jarrett.jacobs@53.com Joseph Stephen Daft Compliance Officer

38 Fountain Square Plaza MD 1090AM Cincinnati OH 45263

513-534-6270 513-534-7159 joseph.daft@53.com Add Operations Building 5001 Kingsley Drive Cincinnati OH 45227 513-358-3607 513-358-9792 Location of Fifth Third Securities, Inc. Operations Center includes back-office employees (i.e., accounting personnel). Documents related to their job functions are maintained here. Add CHICAGO OFFICE 222 S. RIVERSIDE PLAZA CHICAGO IL 60606 3127045912 DOCUMENTS RELATING TO MUNICIPAL ADVISORY ENGAGEMENTS SERVICED AT THIS LOCATION. Add New York Office 50 Rockefeller Plaza New York NY 10020 212-257-4500 Engagement Files Add Atlanta Office 3344 Peachtree Atlanta GA 30326 4049371350 Engagement files NewAdd Indianapolis Public Finance Office 251 North Illinois Street Indianapolis IN 46204 3173832364 Engagement files Fifth Third Bank, National Association Y Ohio Secretary of State 877750 OH Fifth Third Bancorp Y Ohio Secretary of State 458715 OH Fifth Third Financial Corporation Y Ohio Secretary of State 1203641 OH December OH 05-01-1925 N 1359 14 14 0 0 11 Municipal Entities Non-profit organizations 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Guaranteed IC Advice Use Of MD Advice On Selection Y Y Y Y Y Y Y Y Y Y Mergers & Acquisition Advisory Work Y Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Commodity trading advisor Banking/Thrift institution Insurance company or agency Other municipal advisor 6 Add Banking/Thrift institution Fifth Third Bank, National Association Fifth Third Bank, National Association Y Y N Add Insurance company or agency Fifth Third Insurance Agency, Inc. Fifth Third Insurance Agency, Inc. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Fifth Third Securities, Inc. Fifth Third Securities, Inc. Y Y N Add Investment Adviser Fifth Third Securities, Inc (Investment Advisor) Fifth Third Securities, Inc. N Y N Add Investment Adviser Franklin Street Advisors Investment Advisor N Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer H2C Securities, Inc. H2c Securities, Inc. N Y N Delete Other municipal advisor Hanlon, Hanlon & Camp, LLC. Hanlon, Hanlon & Camp, LLC. N Y N Add Investment Adviser Fifth Third Wealth Advisors LLC. Fifth Third Wealth Advisors LLC. N Y N N N N N Y Y N N N N Y N N N FIFTH THIRD BANCORP 0000035527 Schedule B N N N N N Y N Y Y N Y N Y N N Y N N N N N N N N N Y Fifth Third Bank, National Association N 31-0676865 Owner 06-01-1998 E Y Jarrett Andrew Jacobs Chief Compliance Officer 03-01-2013 NA Y 3190249 Ginger Michelle Kelly Chief Administrative Officer 03-01-2011 NA Y 2357692 Justin Michael Overman Director, Brokerage Operations 05-01-2011 NA Y 4419793 Robert Franklin Marcus Head of Capital Markets 04-02-2012 NA Y 2512810 CHRISTOPHER SCOTT STRATMOEN DIRECTOR FINANCIAL OFFICER 10-01-2018 NA Y 5873893 Robert Albert Corsarie DIRECTOR HEAD OF RETAIL BROKERAGE 06-11-2020 NA Y 22113136 Shannon Mobley Johnson Director, Regional Investment Manager 06-07-2021 NA Y 2583704 James Paul Ludwick Director, Institutional Business Manager 07-01-2017 NA Y 4286771 Timothy Mark Lyons Director - Managing Director Trading 03-01-2023 NA Y 2544688 Fifth Third Bank Fifth Third Bancorp Y 31-0854434 Owner 06-01-1998 E Y Fifth Third Bancorp Fifth Third Financial Corporation N 31-1755886 Owner 06-01-1998 E Y Fifth Third Bank, National Association N 31-0676865 Owner 06-01-1998 E Y Jarrett Andrew Jacobs Chief Compliance Officer 03-01-2013 NA Y 3190249 Ginger Michelle Kelly Chief Administrative Officer 03-01-2011 NA Y 2357692 Justin Michael Overman Director, Brokerage Operations 05-01-2011 NA Y 4419793 Robert Franklin Marcus Head of Capital Markets 04-02-2012 NA Y 2512810 CHRISTOPHER SCOTT STRATMOEN DIRECTOR FINANCIAL OFFICER 10-01-2018 NA Y 5873893 Robert Albert Corsarie DIRECTOR HEAD OF RETAIL BROKERAGE 06-11-2020 NA Y 22113136 Shannon Mobley Johnson Director, Regional Investment Manager 06-07-2021 NA Y 2583704 James Paul Ludwick Director, Institutional Business Manager 07-01-2017 NA Y 4286771 Timothy Mark Lyons Director - Managing Director Trading 03-01-2023 NA Y 2544688 Fifth Third Bank Fifth Third Bancorp Y 31-0854434 Owner 06-01-1998 E Y Fifth Third Bancorp Fifth Third Financial Corporation N 31-1755886 Owner 06-01-1998 E Y 9-E2 Fifth Third Securities, Inc. 628 1660125 9-E2 Fifth Third Securities, Inc. 628 1656549 9-E2 Fifth Third Securities, Inc. 628 1620218 9-E2 Fifth Third Securities, Inc. 628 1552253 9-E2 Fifth Third Securities, Inc. 628 1497154 9-E2 Fifth Third Securities, Inc. 628 1491335 9-E2 Fifth Third Securities, Inc. 628 1473749 9-E2 Fifth Third Securities, Inc. 628 1451765 9-E2 Fifth Third Securities, Inc. 628 1433511 9-E2 Fifth Third Securities, Inc. 628 1346483 9-E2 Fifth Third Securities, Inc. 628 1255009 9-E2 Fifth Third Securities, Inc. 628 1169486 9-C2 9-C4 9-C5 Fifth Third Securities, Inc. 628 1080901 9-E2 Fifth Third Securities, Inc. 628 1060705 9-D2 9-D4 Fifth Third Securities, Inc. 628 1035287 9-E2 Fifth Third Securities, Inc. 628 591046 9-D2 9-D4 Fifth Third Securities, Inc. 628 321893 9-D2 Fifth Third Securities, Inc. 628 321865 9-D2 9-D4 Ffith Third Securities, Inc. 628 274921 9-D2 9-D4 Fifth Third Securities, Inc. 628 252878 9-D2 9-D4 Fifth Third Securities, Inc. 628 240369 9-D2 9-D4 Fifth Third Securities, Inc. 628 239546 9-E2 Fifth Third Securities, Inc. 628 233480 9-D2 9-D4 Fifth Third Securities, Inc. 628 182275 9-D2 9-D4 Fifth Third Securities, Inc. 628 182273 9-D2 9-D4 Fifth Third Securities, Inc. 628 182268 9-D2 9-D4 Fifth Third Securities, Inc. 628 150171 9-D2 Fifth Third Securities, Inc. 628 113243 9-E2 Fifth Third Securities, Inc. 628 113242 9-C2 9-C4 9-C5 Fifth Third Securities, Inc. 628 113241 9-E2 Fifth Third Securities, Inc. 628 113240 9-E2 Fifth Third Securities, Inc. 628 113239 1 9-C2 Fifth Third Bancorp Y 001-33653 Fifth Third Securities, Inc. 628 1686469 1 9-C2 Fifth Third Bancorp Y 001-33653 Fifth Third Securities, Inc. 628 1590108 9-C2 FIFTH THIRD SECURITIES, INC. 628 1823892 9-E2 FIFTH THIRD SECURITIES, INC. 628 1827207 1 9-D2 Fifth Third Bank N Fifth Third Securities, Inc. 628 1872338 1 9-D2 Fifth Third Bank N Fifth Third Securities, Inc. 628 1872339 9-E2 Fifth Third Securities, Inc. 628 1876991 9-E2 FIFTH THIRD SECURITIES, INC. 628 1978063 1 9-D2 9-D4 H2C Securities, Inc. Y 867-01506 Fifth Third Securities, Inc. 628 2107615 9-C2 9-C4 9-C5 Fifth Third Securities, Inc. 628 2285241 9-C2 9-C4 9-C5 Fifth Third Securities, Inc. 628 2285050 1 9-C2 Fifth Third Bank N Fifth Third Securities, Inc. 628 2351382 1 9-C2 Fifth Third Bank N Fifth Third Securities, Inc. 628 2351383 Joseph S. Daft Joseph S. Daft Compliance Manager 09-13-2024 4213735 N N N N N Y N Y N N Y N Y N N N N Y Y N N