# Fifth Third Securities, Inc.

> Fifth Third Securities, Inc. is an SEC-registered investment advisory firm in Cincinnati, OH, registered since 2004, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 14, 2026.

- CRD: 628
- Filed as: FIFTH THIRD SECURITIES, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Cincinnati, OH
- Filing period: October 2026
- Form ADV filing dated: July 14, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/628
- AdvisorCensus page: https://advisorcensus.com/firm/fifth-third-securities-inc-cincinnati-oh-628

## Quick answers

**How is Fifth Third Securities, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Fifth Third Securities, Inc. reports these compensation arrangements: a percentage of assets under its management.

**Where is Fifth Third Securities, Inc. located?**
Fifth Third Securities, Inc.'s principal office is in Cincinnati, OH, according to its Form ADV; the August 2026 filing also lists 20 other offices (Schedule D, Section 1.F).

**Is Fifth Third Securities, Inc. registered with the SEC or a state?**
Fifth Third Securities, Inc. is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 628.

**How much does Fifth Third Securities, Inc. manage?**
Fifth Third Securities, Inc. reports $10,924,793,999 in regulatory assets under management in its Form ADV filing dated July 14, 2026 (100% discretionary).

**How have Fifth Third Securities, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Fifth Third Securities, Inc.: Regulatory assets under management: $1,885,461,036 in the October 2021 data and $10,924,793,999 in the October 2026 data, up 479%. Total employees: 1,500 in October 2021 and 13,533 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Fifth Third Securities, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (44,361); high net worth individuals (1,938); pension and profit sharing plans (but not the plan participants or government pension plans) (524).

**Which custodians does Fifth Third Securities, Inc. use?**
Fifth Third Securities, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Fifth Third Securities, Inc. report any disciplinary disclosures?**
Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/628

**Does Fifth Third Securities, Inc. state an account minimum?**
Its Form ADV Part 2A brochure dated July 14, 2026 says: "A Compass account requires a certain minimum dollar value of either cash or marketable securities that are acceptable to FTS before FTS approves an account. The Compass account minimum is $100,000."

**What changed in Fifth Third Securities, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 788 to 848. Regulatory assets under management went from $9,127,646,064 to $10,924,793,999 (+20%). Changed its office addresses in Cincinnati, OH. Added an office in Chicago, IL. Added an office in Evansville, IN. Added an office in Fairfield, OH. Added an office in Indianapolis, IN. Added an office in Springboro, OH. Added an office in Tampa, FL. No longer lists an office in Broadview Heights, OH. No longer lists an office in Dublin, OH. No longer lists an office in Miamisburg, OH. No longer lists an office in Owosso, MI. No longer lists an office in Richwood, KY. No longer lists an office in Shelby Township, MI. No longer lists an office in Traverse City, MI.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated July 14, 2026)

- Account minimum: $100,000

> A Compass account requires a certain minimum dollar value of either cash or marketable securities that are acceptable to FTS before FTS approves an account. The Compass account minimum is $100,000.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- National Financial Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $10,924,793,999
- Discretionary: $10,924,793,999
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 44,361 | $8,166,869,606 |
| High net worth individuals | 1,938 | $2,502,723,178 |
| Pooled investment vehicles (other than investment companies and business development companies) | 7 | $5,138,265 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 524 | $150,866,133 |
| Charitable organizations | 17 | $8,797,592 |
| Corporations or other businesses not listed above | 167 | $90,399,225 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 2004 (21 years)
- Employees: 13,533 total, 848 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports 5 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/628

### Other offices (Schedule D, Section 1.F), as of the August 2026 filing
- Charlotte, NC
- Chicago, IL
- Cincinnati, OH
- Cleveland, OH
- Columbus, OH
- Evansville, IN
- Fairfield, OH
- Findlay, OH
- Florence, KY
- Fort Myers, FL
- Indianapolis, IN
- Louisville, KY
- Mayfield Heights, OH
- Montgomery, OH
- Naples, FL
- Oak Brook, IL
- Springboro, OH
- St. Johns, MI
- Tampa, FL
- West Chester, OH

### Websites listed on Form ADV (Item 1.I)
- 53.com/CONTENT/FIFTH-THIRD/EN/PERSONAL-BANKING/INVESTMENTS/PASSAGEWAY-MANAGED-ACCOUNT.HTML
- LinkedIn @3011

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,885,461,036 | 1,500 | July 22, 2021 |
| October 2022 | $8,855,211,800 | 1,247 | September 12, 2022 |
| October 2023 | $7,311,047,248 | 1,205 | August 14, 2023 |
| October 2024 | $7,982,892,401 | 1,228 | June 16, 2024 |
| October 2025 | $9,127,646,064 | 1,349 | July 14, 2025 |
| October 2026 | $10,924,793,999 | 13,533 | July 14, 2026 |

Regulatory assets under management: $1,885,461,036 in the October 2021 data and $10,924,793,999 in the October 2026 data, up 479%.
Total employees: 1,500 in October 2021 and 13,533 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 788 to 848.
- Regulatory assets under management went from $9,127,646,064 to $10,924,793,999 (+20%).
- Changed its office addresses in Cincinnati, OH.
- Added an office in Chicago, IL.
- Added an office in Evansville, IN.
- Added an office in Fairfield, OH.
- Added an office in Indianapolis, IN.
- Added an office in Springboro, OH.
- Added an office in Tampa, FL.
- No longer lists an office in Broadview Heights, OH.
- No longer lists an office in Dublin, OH.
- No longer lists an office in Miamisburg, OH.
- No longer lists an office in Owosso, MI.
- No longer lists an office in Richwood, KY.
- No longer lists an office in Shelby Township, MI.
- No longer lists an office in Traverse City, MI.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Fifth Third Securities, Inc. (CRD 628): Form ADV filing data as of October 2026.