# EDGAR Filing Document

**Accession Number:** 0000073956
**File Stem:** 0000073956-25-000018
**Filing Date:** 2025-6
**Character Count:** 24060
**Document Hash:** 3c4dd189e5cea7bb1168a5d6e635ee9c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000073956-25-000018.hdr.sgml**: 20250626

**ACCESSION NUMBER**: 0000073956-25-000018

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250616

**DATE AS OF CHANGE**: 20250626

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FIFTH THIRD SECURITIES, INC.
- **CENTRAL INDEX KEY:** 0000073956

**ORGANIZATION NAME:**
- **EIN:** 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:** 251076042

**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

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

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000073956

**Filer CCC:** XXXXXXXX

**Contact Name:** Kimberly Donovan

**Contact Phone:** 312-704-6164

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

**Notification Emails:** joseph.daft@53.com, kimberly.donovan@53.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** FIFTH THIRD SECURITIES, INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 628

**&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:** 31-4122170

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00636-00

- **Municipal Advisor:** SEC File No: 867-01273

- **Broker-Dealer:** SEC File No: 008-2428, CRD No: 628

- **SEC-Registered Investment Adviser:** SEC File No: 801-63623, CRD No: 628

**E. Principal Office and Place of Business:** 34 FOUNTAIN SQUARE PLAZA, MD 1090AM, CINCINNATI, OH, 45202

**Telephone Number:** 513-534-7421

**Additional Offices of Employment:**

- **Office #1 (Add):** 222 S. RIVERSIDE PLAZA, CHICAGO, IL, 60606 | Phone: 3127045912

- **Office #2 (Delete):** 50 Rockefeller Plaza, New York, NY, 10020 | Phone: 212-257-4500

- **Office #3 (Delete):** 3344 Peachtree Road NE, Atlanta, GA, 30326 | Phone: 4049371350

- **Office #4 (Add):**  | Phone: 2122574509

- **Office #5 (Add):**  | Phone: 212-301-2700

**Mailing Address is Different from Principal Office:** No

**F. Website:** https://www.53.com

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

**Name:** Jarrett Andrew Jacobs

**Address:** 38 Fountain Square Plaza, MD 1090AM, Cincinnati, OH, 45263

**Phone Number:** 513-534-7421

**Email:** jarrett.jacobs@53.com

**H. Business Affiliates:**

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

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

  - **Jurisdiction:** OH

- **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

**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:** OH

**D. Date of Organization:** 05-01-1925

**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:** 1422

**B. Municipal Advisory Activities - Employees:** 10

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 10

**&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:** 9

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**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):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, 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 Guaranteed IC, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

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

- **Insurance:** Actively Engaged: Yes, Primary Business: Yes

- **Investment Advisor:** 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, Commodity trading advisor, 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, Investment Adviser, Investment Adviser, Investment Adviser

**Total Associated Persons:** 6

### 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?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **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?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                                   | Title/Status                             | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Fifth Third Bank, National Association | Owner                                    | 06-01-1998      | E - 75% or more   | Yes               |  |  |
| Jarrett Andrew Jacobs                  | Chief Compliance Officer                 | 03-01-2013      | NA - less than 5% | Yes               |  | 3190249      |
| Ginger Michelle Kelly                  | Chief Administrative Officer             | 03-01-2011      | NA - less than 5% | Yes               |  | 2357692      |
| Justin Michael Overman                 | Director, Brokerage Operations           | 05-01-2011      | NA - less than 5% | Yes               |  | 4419793      |
| Robert Franklin Marcus                 | Head of Capital Markets                  | 04-02-2012      | NA - less than 5% | Yes               |  | 2512810      |
| CHRISTOPHER SCOTT STRATMOEN            | DIRECTOR FINANCIAL OFFICER               | 10-01-2018      | NA - less than 5% | Yes               |  | 5873893      |
| Robert Albert Corsarie                 | DIRECTOR HEAD OF RETAIL BROKERAGE        | 06-11-2020      | NA - less than 5% | Yes               |  | 22113136     |
| Shannon Mobley Johnson                 | Director, Regional Investment Manager    | 06-07-2021      | NA - less than 5% | Yes               |  | 2583704      |
| James Paul Ludwick                     | Director, Institutional Business Manager | 07-01-2017      | NA - less than 5% | Yes               |  | 4286771      |
| Timothy Mark Lyons                     | Director - Managing Director Trading     | 03-01-2023      | NA - less than 5% | Yes               |  | 2544688      |

### Schedule B: Indirect Owners

| Owning Entity       | Name                              | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Fifth Third Bank    | Fifth Third Bancorp               | Owner          | 06-01-1998      | E - 75% or more  | Yes               |  |
| Fifth Third Bancorp | Fifth Third Financial Corporation | Owner          | 06-01-1998      | 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      |  | Fifth Third Bank, National Association | Owner                                    | 06-01-1998      | E - 75% or more   | Yes               |  |  |
|  | Indirect    | Fifth Third Bank    | Fifth Third Bancorp                    | Owner                                    | 06-01-1998      | E - 75% or more   | Yes               |  |  |
|  | Indirect    | Fifth Third Bancorp | Fifth Third Financial Corporation      | Owner                                    | 06-01-1998      | E - 75% or more   | Yes               |  |  |
|  | Direct      |  | Jarrett Andrew Jacobs                  | Chief Compliance Officer                 | 03-01-2013      | NA - less than 5% | Yes               |  | 3190249      |
|  | Direct      |  | Ginger Michelle Kelly                  | Chief Administrative Officer             | 03-01-2011      | NA - less than 5% | Yes               |  | 2357692      |
|  | Direct      |  | Justin Michael Overman                 | Director, Brokerage Operations           | 05-01-2011      | NA - less than 5% | Yes               |  | 4419793      |
|  | Direct      |  | Robert Franklin Marcus                 | Head of Capital Markets                  | 04-02-2012      | NA - less than 5% | Yes               |  | 2512810      |
|  | Direct      |  | CHRISTOPHER SCOTT STRATMOEN            | DIRECTOR FINANCIAL OFFICER               | 10-01-2018      | NA - less than 5% | Yes               |  | 5873893      |
|  | Direct      |  | Robert Albert Corsarie                 | DIRECTOR HEAD OF RETAIL BROKERAGE        | 06-11-2020      | NA - less than 5% | Yes               |  | 22113136     |
|  | Direct      |  | Shannon Mobley Johnson                 | Director, Regional Investment Manager    | 06-07-2021      | NA - less than 5% | Yes               |  | 2583704      |
|  | Direct      |  | James Paul Ludwick                     | Director, Institutional Business Manager | 07-01-2017      | NA - less than 5% | Yes               |  | 4286771      |
|  | Direct      |  | Timothy Mark Lyons                     | Director - Managing Director Trading     | 03-01-2023      | NA - less than 5% | Yes               |  | 2544688      |

### Disclosure Reporting Pages (DRPs)

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1660125

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1656549

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1620218

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1552253

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1497154

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1491335

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1473749

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1451765

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1433511

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1346483

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1255009

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1169486

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1080901

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1060705

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1035287

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

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

- **CRD Number:** 628

- **Disclosure Number:** 591046

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

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

- **CRD Number:** 628

- **Disclosure Number:** 321893

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

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

- **CRD Number:** 628

- **Disclosure Number:** 321865

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

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

- **CRD Number:** 628

- **Disclosure Number:** 274921

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

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

- **CRD Number:** 628

- **Disclosure Number:** 252878

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

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

- **CRD Number:** 628

- **Disclosure Number:** 240369

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

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

- **CRD Number:** 628

- **Disclosure Number:** 239546

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

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

- **CRD Number:** 628

- **Disclosure Number:** 233480

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

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

- **CRD Number:** 628

- **Disclosure Number:** 182275

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

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

- **CRD Number:** 628

- **Disclosure Number:** 182273

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

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

- **CRD Number:** 628

- **Disclosure Number:** 182268

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

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

- **CRD Number:** 628

- **Disclosure Number:** 150171

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

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

- **CRD Number:** 628

- **Disclosure Number:** 113243

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

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

- **CRD Number:** 628

- **Disclosure Number:** 113242

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

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

- **CRD Number:** 628

- **Disclosure Number:** 113241

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

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

- **CRD Number:** 628

- **Disclosure Number:** 113240

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

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

- **CRD Number:** 628

- **Disclosure Number:** 113239

**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-C2)**

  - **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-C2)**

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

- **CRD Number:** 628

- **Disclosure Number:** 1823892

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1827207

**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)**

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

- **CRD Number:** 628

- **Disclosure Number:** 1876991

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

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

- **CRD Number:** 628

- **Disclosure Number:** 1978063

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

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

- **CRD Number:** 628

- **Disclosure Number:** 2285241

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

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

- **CRD Number:** 628

- **Disclosure Number:** 2285050

**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:** 2351382

**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:** 2351383

### Execution Page

**Signature:** Kimberly Donovan

**Signer Name:** Kimberly Donovan

**Title:** Compliance Manager

**Date:** 06-16-2025

**CRD Number:** 4586476