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Fifth Third Securities

SEC-registered adviser since 2004Cincinnati, OHCRD 628

$10.9B
AUM
47,014
Clients
See fees
Fee
848
Advisory staff

From Form ADV filed 14 July 2026 · data retrieved 15 October 2026SEC record

Fifth Third Securities is an investment adviser headquartered in Cincinnati, Ohio, and registered with the SEC since 2004. Its clients include other individuals, high-net-worth individuals, and pension and profit-sharing plans. High-net-worth individuals account for 23% of its regulatory assets under management.

Its services include financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers. Fee arrangements include a percentage of assets under management. Fifth Third Bank, National Association owns 75% or more of Fifth Third Securities.

Clients

Fifth Third Securities serves 47,014 clients, 44,361 of them other individuals. The average client has about $232,000 with the firm, and high-net-worth clients hold 23% of its $10.9 billion in assets.

Regulatory assets by client type
  • Individuals44,361 clients75%
  • High-net-worth individuals1,938 clients23%
  • OtherPooled investment vehicles, Pension and profit-sharing plans, Charitable organizations, Corporations and other businesses2%
Show client breakdown
Individuals (other than HNW)
Clients
44,361
Regulatory AUM
$8,166,869,606
Share
74.8%
Avg. per client
$184K
High-net-worth individuals
Clients
1,938
Regulatory AUM
$2,502,723,178
Share
22.9%
Avg. per client
$1.29M
Pooled investment vehicles
Clients
7
Regulatory AUM
$5,138,265
Share
0.0%
Avg. per client
$734K
Pension and profit-sharing plans
Clients
524
Regulatory AUM
$150,866,133
Share
1.4%
Avg. per client
$288K
Charitable organizations
Clients
17
Regulatory AUM
$8,797,592
Share
0.1%
Avg. per client
$518K
Corporations and other businesses
Clients
167
Regulatory AUM
$90,399,225
Share
0.8%
Avg. per client
$541K

Total

Clients
47,014
Regulatory AUM
$10,924,793,999
Share
100%
Avg. per client
$232K

What it does

Fifth Third Securities provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers and other activities. It is paid through a percentage of assets.

Fifth Third Securities provided financial planning to 26–50 clients last fiscal year and advises no private funds.

100.0% of assets ($10.92B across 47,014 accounts) are managed with discretion. $13.93B sits in a wrap fee program the firm both sponsors and manages. 0% of clients are outside the U.S., and 0 clients received advice without assets under management last fiscal year.

What the accounts hold

Separately managed account assets by class, year end
  • Stocks67%
  • Funds30%
  • Cash3%

Custodians

Fifth Third Securities’ client accounts are held mainly at Fidelity, with 84% of managed assets. Fifth Third Securities has custody of $10.92B for 47,014 clients.

Managed account assets by custodian
  • FidelityNational Financial Services LLC · Boston, MA · $9.13B84%
  • All other custodians$1.80B16%

Ownership and leadership

Fifth Third Bank, National Association owns 75% or more of Fifth Third Securities.

Who owns the firm
Fifth Third Securities, Inc.· the adviser

  • Fifth Third Bank, National Association

    Control person · since June 1998

    Owns 75% or more of Fifth Third Securities, Inc.

Leadership

  • Jarrett Andrew Jacobs
    Director, BD Chief Compliance Officer/RIA Chief Compliance Officer
  • Robert Albert Corsarie
    Director, Head of Retail Brokerage
  • Shannon Johnson Mobley
    Director, Regional Investment Manager
  • Ginger Michelle Kelly
    Director, Chief Administrative Officer - Retail
  • James Paul Ludwick
    Director, Executive Director of Institutional Business
  • Timothy Lyons
    Director, Managing Director-Trading
  • Robert Franklin Marcus
    Director, Head of Capital Markets
  • Justin Michael Overmann
    Director, Principal Operations Officer
  • Christopher Scott Stratmoen
    Director, Principal Financial Officer

Staff

  • 13,533 employees
  • 848 in advisory functions
  • 1,004 state-registered reps
  • 13,533 broker-dealer reps
  • 883 insurance agents

Reported holdings

Fifth Third Securities’ reported 13F holdings total $1.75B across 360 positions, and the ten largest make up 28.2% of it.

$1.75B
Reported 13F value
360
Positions
28.2%
In the 10 largest
+13.4%
Value vs. prior quarter
Ten largest positions, share of reported value
  1. Invesco Qqq Trust · Exchange Traded Fund4.5%
  2. Vanguard S&P 500 ETF · Exchange Traded Fund4.2%
  3. iShares Core S&P 500 ETF · Exchange Traded Fund4.1%
  4. State Street SPDR S&P 500 ETF Trust · Exchange Traded Fund3.0%
  5. Vanguard Total Stock Market ETF · Exchange Traded Fund2.5%
  6. Vanguard Growth ETF · Exchange Traded Fund2.4%
  7. iShares Core Dividend Growth ETF · Exchange Traded Fund2.2%
  8. SPDR Portfolio S&P 500 Value ETF · Exchange Traded Fund1.9%
  9. State Street SPDR Port S&P 500 ETF · Exchange Traded Fund1.7%
  10. Vanguard Value ETF · Exchange Traded Fund1.7%

Together, the ten largest are 28.2% of reported value.

The 50 largest positions and quarterly changesQuarter ended 30 June 2026 · filed 15 July 2026

A 13F covers only exchange-traded long positions the firm holds with discretion, so this $1.75B is not its $10.92B in regulatory assets and does not represent any individual client's portfolio.

Fees

Fifth Third Securities is paid through a percentage of assets under management.

Fifth Third Securities’ fee rates are not included in this profile. Find its brochure on the SEC’s site.

Offices and registrations

Besides its headquarters, Fifth Third Securities has 1,117 offices (1 private residence, listed without an address), with 25 listed addresses across 7 states.

Listed office addresses by state

Ohio · 14 listed addresses

  • 34 Fountain Square Plaza, MD 1090xb, CincinnatiHQ
  • 5001 Kingsley Drive, Cincinnati
  • 9477 Kenwood RD., Cincinnati
  • 600 Superior Avenue East, Cleveland
  • 7810 Tylersville Square Drive, West Chester
  • 7708 Montgomery Road, Cincinnati
  • 5001 Kingsley Drive, Cincinnati
  • 6120 South Gilmore Road, Fairfield
  • 1209 Som Center RD., Mayfield Heights
  • 790 Gardner RD., Springboro
  • 2632 Erie Avenue, Cincinnati
  • 9280 Montgomery Road, Montgomery
  • 337 South Main ST, Findlay
  • 1819 W Lane Ave, Columbus

Registration details

Legal name
Fifth Third Securities, Inc.
Headquarters
34 Fountain Square Plaza, MD 1090xb, Cincinnati, OH 45263
Phone
888-889-1025
Website
www.53.com/content/fifth-third/en/personal-banking/investments/passageway-managed-account.html
SEC file
801-63623
Structure
Ohio corporation
Fiscal year end
December

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov

Common questions

How many clients does Fifth Third Securities have?

Fifth Third Securities has 47,014 clients and manages $10.9 billion for them, as of July 2026. They include 44,361 other individuals, 1,938 high-net-worth individuals and 524 pension and profit-sharing plans.

Source: Form ADV Part 1A, Items 5.D and 5.F, filed 14 July 2026

What services does Fifth Third Securities offer?

Fifth Third Securities provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers and other activities.

Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file

Which custodians does Fifth Third Securities use?

Fifth Third Securities’ separately managed account assets are held at National Financial Services LLC (Boston, MA), with $9,127,646,064. Only custodians holding at least a tenth of those assets are named.

Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 July 2026

How many financial advisors does Fifth Third Securities have?

Fifth Third Securities has 1,004 investment adviser representatives registered with state securities authorities, out of 13,533 employees, and 848 perform investment advisory functions. 13,533 are registered representatives of a broker-dealer and 883 are licensed insurance agents.

Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file

What does Fifth Third Securities invest in?

At the end of its last fiscal year, Fifth Third Securities’ separately managed accounts held 67% exchange-traded equities, 30% registered funds (mutual funds, ETFs, BDCs) and 3% cash and equivalents. It advises no private funds of its own.

Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file

Who owns Fifth Third Securities?

Fifth Third Securities is owned through a chain of holding companies by Fifth Third Bancorp. Its direct owner is Fifth Third Bank, National Association (75% or more).

Source: Form ADV Part 1A, Schedules A and B, filed 14 July 2026

How does Fifth Third Securities get paid?

Fifth Third Securities is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.

Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file

Sources

  1. Form ADV Part 1A, amendment filed 14 July 2026. Items 1, 5, 9, 11 and Schedules A, B and D.
  2. IAPD firm record, CRD 628.
  3. Form 13F-HR, filed 15 July 2026 for the quarter ended 30 June 2026.

Retrieved 15 October 2026. All are published by the SEC and may have been amended since.

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This profile is compiled from public regulatory filings and is provided for informational purposes only. Niva Wealth is not affiliated with Fifth Third Securities, Inc. and makes no representation about the quality of its services. Figures reflect the filing dates shown and may have changed. Ownership percentages are the bands reported to the SEC, not exact figures.