David Briggs has been Managing Member of Fifth Third Wealth Advisors since December 2020, is a control person of the firm and directly owns under 5% of it.
Fifth Third Wealth Advisors LLC is a Cincinnati, OH firm with $7.8B under management, 1,498 clients and 58 advisers across 13 offices, as of its July 2026 filing.
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 2 yearsNashville, TN · Adviser representative · Firm CRD 7691
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 25 March 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 22 April 2014 |
| Series 24 | General Securities Principal Examination | 5 March 2007 |
| Series 7 | General Securities Representative Examination | 20 February 2007 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- David Edward Briggs
- CRD
- 5291010
- Firm
- Fifth Third Wealth Advisors · CRD 313015
- Role
- Managing Member
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does David Briggs work?
David Briggs has been Managing Member of Fifth Third Wealth Advisors LLC since December 2020, and is a control person of the firm.
Does David Briggs have a current investment-adviser registration?
David Briggs has no current investment-adviser or broker registration.
What exams has David Briggs passed?
David Briggs has passed 4 licensing exams: the Series 7, Series 24, Series 65 and Series 63. The earliest, the Series 7, was passed in February 2007. FINRA credited David Briggs with the SIE, which began in October 2018.
Where was David Briggs previously registered as an investment adviser?
David Briggs has past investment-adviser registrations through Merrill Lynch, Pierce, Fenner & Smith Incorporated, April 2014 to June 2016, across 1 firm.
Is David Briggs registered with FINRA?
No. David Briggs has no current broker registration.
How can I verify David Briggs’ record?
Search CRD 5291010 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Briggs’ full registration record.
- Eric HousmanPresident/Managing Member
- Darren EarnhardtChief Operating Officer
- Suzanne TaylorChief Compliance Officer
- Robert BanksManaging Member
- Lori FrischerManaging Member
- David OlsonManaging Director, Practice Management
- Christopher OsmondChief Investment Officer
- Mary ReillyManaging Member
- Jonathan ReynoldsManaging Member
- Keith WatsonManaging Director of Administration and Operations