# EDGAR Filing Document

**Accession Number:** 0000050825
**File Stem:** 0000050825-23-000003
**Filing Date:** 2023-1
**Character Count:** 26335
**Document Hash:** 9a9415423f566ee9c46d1b70774a66a7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000050825-23-000003.hdr.sgml**: 20230118

**ACCESSION NUMBER**: 0000050825-23-000003

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230103

**DATE AS OF CHANGE**: 20230118

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** H2C SECURITIES INC.
- **CENTRAL INDEX KEY:** 0000050825
- **IRS NUMBER:** 363327521
- **STATE OF INCORPORATION:** IL
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01506
- **FILM NUMBER:** 23533791

**BUSINESS ADDRESS:**
- **STREET 1:** 4655 EXECUTIVE DRIVE
- **STREET 2:** SUITE 280
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92121
- **BUSINESS PHONE:** 7046881795

**MAIL ADDRESS:**
- **STREET 1:** 201 N. TYRON ST.
- **STREET 2:** MD NFT18G
- **CITY:** CHARLOTTE
- **STATE:** NC
- **ZIP:** 28202

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** G EQUITY INVESTMENT GROUP LTD.
- **DATE OF NAME CHANGE:** 20020326

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** G EQUITY INVESTMENT GROUP LTD
- **DATE OF NAME CHANGE:** 20020326

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** G EQUITY INVESTMENT GROUP LTD /IL/                      /BD
- **DATE OF NAME CHANGE:** 19950130

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000050825

**Filer CCC:** XXXXXXXX

**Contact Name:** Kimberly Donovan

**Contact Phone:** 3127046164

**Contact Email:** kimberly.donovan@53.com

**Notification Emails:** john.obeck@53.com, kimberly.donovan@53.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** H2C SECURITIES INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 7169

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 36-3327521

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-01506

- **Broker-Dealer:** SEC File No: 008-19993, CRD No: 7169

**E. Principal Office and Place of Business:** 4655 Executive Drive, SUITE 280, SAN DIEGO, CA, 92121

**Telephone Number:** 8582424800

**Additional Offices of Employment:**

- **Office #1 (Add):** 623 Fifth Avenue, 29th Floor, New York, NY, 10022 | Phone: 212-257-4500

- **Office #2 (Add):** 3344 Peachtree Road Northeast, Suite 900, Atlanta, GA, 30326 | Phone: 404-937-1350

- **Office #3 (Add):** 222 Riverside Plaza, 29th Floor, Chicago, IL, 60606 | Phone: 312-704-6164

**Mailing Address is Different from Principal Office:** Yes

**Mailing Address:** 222 Riverside Plaza, MD GRVR1J, CHICAGO, IL, 60606

**F. Website:** www.h2c.com

**G. Chief Compliance Officer (CCO):**

**Name:** John Mark Obeck

**Address:** 201 North Tyron Street, MD NFT18G, Charlotte, NC, 28202

**Phone Number:** 704-688-1795

**Email:** john.obeck@53.com

**H. Business Affiliates:**

- **Name:** Hammond Hanlon Camp LLC

- **Name:** Fifth Third Bank, National Association

  - **Issuing Agency:** Office of Comptroller of Currency

  - **Jurisdiction:** 

- **Name:** Fifth Third Bancorp

  - **Issuing Agency:** Ohio Secretary of State

  - **Jurisdiction:** OH

- **Name:** Fifth Third Financial Corporation

  - **Issuing Agency:** Ohio Secretary of State

  - **Jurisdiction:** OH

- **Name:** Walnut & Vine Holdings, LLC.

  - **Issuing Agency:** Delaware Secretary of State, Division of Corporations

  - **Jurisdiction:** DE

- **Name:** Fifth Third Acquisition Holdings, Inc.

  - **Issuing Agency:** Delaware Secretary of State, Division of Corporations

  - **Jurisdiction:** DE

- **Name:** Fifth Third Wealth Advisors LLC

  - **Issuing Agency:** Florida Department of State Division of Corporations

  - **Jurisdiction:** FL

- **Name:** Main Street Investment Advisors

  - **Issuing Agency:** State of Illinois

  - **Jurisdiction:** IL

- **Name:** Fifth Third Securities Inc.

  - **Issuing Agency:** State of Ohio

  - **Jurisdiction:** OH

- **Name:** The Retirement Corporation of America

  - **Issuing Agency:** State of Ohio

  - **Jurisdiction:** OH

- **Name:** Franklin Street Advisors

  - **Issuing Agency:** State of North Carolina

  - **Jurisdiction:** NC

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** IL

**D. Date of Organization:** 05-05-1970

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 40

**B. Municipal Advisory Activities - Employees:** 13

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 13

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 10

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** Yes

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Swap Dealer, Banking/Thrift institution, Insurance company or agency, Other municipal advisor, Banking/Thrift institution, Insurance company or agency, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor, Investment Adviser, Insurance company or agency, Investment Adviser, Insurance company or agency, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Other municipal advisor

**Total Associated Persons:** 12

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** Yes

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** Yes

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                        | Title/Status                             | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Hammond Hanlon Camp LLC     | Owner                                    | 09-01-2012      | E - 75% or more   | Yes               | 45-2499430   |  |
| Philip Jago Camp            | Chief Operations Officer                 | 09-01-2012      | NA - less than 5% | Yes               |  | 4484402      |
| William Burns Hanlon III    | President                                | 09-01-2012      | NA - less than 5% | Yes               |  | 1734087      |
| Christopher Scott Stratmoen | Financial Operation Principal & Treasury | 01-12-2021      | NA - less than 5% | Yes               |  | 5873893      |
| Victoria Stem Poindexter    | Principal                                | 01-31-2021      | NA - less than 5% | Yes               |  | 1889442      |
| Nicholas Roy Beale          | Principal                                | 12-31-2020      | NA - less than 5% | Yes               |  | 6477642      |
| Charles Richard Bayman      | Principal                                | 12-31-2020      | NA - less than 5% | Yes               |  | 4249966      |
| Jarrett Andrew Jacobs       | Compliance Officer                       | 04-28-2021      | NA - less than 5% | Yes               |  | 3190249      |
| John Mark Obeck             | Chief Compliance Officer                 | 04-28-2021      | NA - less than 5% | Yes               |  | 3222777      |

### Schedule B: Indirect Owners

| Owning Entity                          | Name                                   | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Fifth Third Financial Corporation      | Fifth Third Bancorp                    | Owner          | 12-31-2020      | E - 75% or more  | Yes               | 31-0854434   |
| Fifth Third Bank, National Association | Fifth Third Financial Corporation      | Owner          | 12-31-2020      | E - 75% or more  | Yes               | 31-1755886   |
| Walnut & Vine Holdings, LLC.           | Fifth Third Bank, National Association | Owner          | 12-31-2020      | E - 75% or more  | Yes               | 31-0676865   |
| Fifth Third Acquisition Holdings, LLC. | Walnut & Vine Holdings, LLC.           | Owner          | 12-31-2020      | E - 75% or more  | Yes               |  |
| Hammond Hanlon Camp LLC                | Fifth Third Acquisition Holdings, LLC. | Owner          | 12-31-2020      | E - 75% or more  | Yes               |  |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity                          | Name                                   | Title/Status                             | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Hammond Hanlon Camp LLC                | Owner                                    | 09-01-2012      | E - 75% or more   | Yes               | 45-2499430   |  |
|  | Indirect    | Fifth Third Financial Corporation      | Fifth Third Bancorp                    | Owner                                    | 12-31-2020      | E - 75% or more   | Yes               | 31-0854434   |  |
|  | Indirect    | Fifth Third Bank, National Association | Fifth Third Financial Corporation      | Owner                                    | 12-31-2020      | E - 75% or more   | Yes               | 31-1755886   |  |
|  | Indirect    | Walnut & Vine Holdings, LLC.           | Fifth Third Bank, National Association | Owner                                    | 12-31-2020      | E - 75% or more   | Yes               | 31-0676865   |  |
|  | Indirect    | Fifth Third Acquisition Holdings, LLC. | Walnut & Vine Holdings, LLC.           | Owner                                    | 12-31-2020      | E - 75% or more   | Yes               |  |  |
|  | Indirect    | Hammond Hanlon Camp LLC                | Fifth Third Acquisition Holdings, LLC. | Owner                                    | 12-31-2020      | E - 75% or more   | Yes               |  |  |
|  | Direct      |  | Philip Jago Camp                       | Chief Operations Officer                 | 09-01-2012      | NA - less than 5% | Yes               |  | 4484402      |
|  | Direct      |  | William Burns Hanlon III               | President                                | 09-01-2012      | NA - less than 5% | Yes               |  | 1734087      |
| Amend  | Direct      |  | Catherine NMN Colgan                   | Financial Operation Principal & Treasury | 01-03-2023      | NA - less than 5% | Yes               |  | 7147369      |
|  | Direct      |  | Victoria Stem Poindexter               | Principal                                | 01-31-2021      | NA - less than 5% | Yes               |  | 1889442      |
| Delete | Direct      |  | Nicholas Roy Beale                     | Principal                                | 12-31-2020      | NA - less than 5% | Yes               |  | 6477642      |
|  | Direct      |  | Charles Richard Bayman                 | Principal                                | 12-31-2020      | NA - less than 5% | Yes               |  | 4249966      |
|  | Direct      |  | Jarrett Andrew Jacobs                  | Compliance Officer                       | 04-28-2021      | NA - less than 5% | Yes               |  | 3190249      |
|  | Direct      |  | John Mark Obeck                        | Chief Compliance Officer                 | 04-28-2021      | NA - less than 5% | Yes               |  | 3222777      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for H2C SECURITIES INC.

- **CRD Number:** 7169

- **Disclosure Number:** 252905

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5, 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc

  - **Disclosure Number:** 2107967

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1978063

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1876991

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1872338

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1872339

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1827207

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1823892

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1686469

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1660125

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1656549

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1620218

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1590108

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1552253

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1497154

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1491335

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1473749

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1451765

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1433511

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1346483

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1255009

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1169486

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1080901

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1060705

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 1035287

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 591046

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 321893

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 321865

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 274921

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 252878

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 240369

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 239546

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 233480

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 182275

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 182273

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 182268

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 150171

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 113243

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 113242

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 113241

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 113240

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 628

  - **Filed On (AP):** Form ADV/BD/U4 for Fifth Third Securities, Inc.

  - **Disclosure Number:** 113239

### Execution Page

**Signature:** Kimberly Donovan

**Signer Name:** Kimberly Donovan

**Title:** Compliance Manager

**Date:** 01-03-2023