Fifth Third Securities

Fifth Third Securities, a subsidiary of Fifth Third Bank, N.A., provides professional advice on investment services and products, retirement planning and...

Fifth Third Securities

Fifth Third Securities, a subsidiary of Fifth Third Bank, N.A., provides professional advice on investment services and products, retirement planning and income strategies, planning for funding college, insurance strategies and more. The firm’s mission is to help clients achieve their financial goals. We attract experienced financial professionals, and reward and support excellence in the position. Over 60% of our Investment Executives have been with us for over five years. Visit www.53.com/careers to view our open positions. Content listed on this page is for general purposes only and is not a recommendation or an offer to buy or sell any security. Third party posts found on this page do not reflect the views of Fifth Third Securities, Inc. and have not been reviewed by Fifth Third Securities, Inc. as to the accuracy or completeness. Securities and investments offered through Fifth Third Securities, Inc.; member FINRA (www.finra.org)/SIPC(www.sipc.org), a wholly owned subsidiary of Fifth Third Bank, National Association, is a registered broker-dealer and a registered investment advisor registered with the U.S. Securities and Exchange Commission – SEC (www.sec.gov). Registration does not imply a certain level of skill or training. Insurance products are made available through Fifth Third Insurance Agency, Inc. Securities and investments offered through Fifth Third Securities, Inc. and insurance products:  Are Not FDIC Insured  Offer No Bank Guarantee  May Lose Value  Are Not Insured by any Federal Government Agency  Are Not a Deposit  Insurance products made available through Fifth Third Insurance Agency, Inc.; insurance products are not offered in all states Statement of Financial Condition - Audited https://www.53.com/content/dam/fifth-third/docs/legal/fts-audited-statement-of-financial-condition.pdf Statement of Financial Condition - Unaudited https://www.53.com/content/dam/fifth-third/docs/legal/fts-unaudited-statement-of-financial-condition.pdf

Website

53.com

linkedin.com/company/fifth-third-securities

General information

Firm type

Bank / Wealth / Trust

Year founded

2004

AUM

Undisclosed

Location

Region

North America

Country

United States

City

Cincinnati

Corporate office

Louisville, KY, United States

How does Fifth Third Securities source its deal flow?

The vast majority of its investment banking and capital markets mandates originate through Fifth Third Bancorp's commercial lending relationships. Middle-market companies that maintain credit facilities or treasury management accounts with the bank are introduced to the securities unit for debt underwriting, interest-rate hedging, and M&A advisory. This captive referral model distinguishes it from independent investment banks that must cold-originate every engagement.

Does Fifth Third Securities run proprietary trading strategies?

No. As a broker-dealer subsidiary of a Federal Reserve-regulated bank holding company, its proprietary trading activities are restricted under the Volcker Rule. The firm earns fee income from underwriting, placement, and advisory mandates, and facilitates client-directed brokerage flow, but does not operate a proprietary risk-taking desk.

What investment banking services does the firm provide?

Fifth Third Securities offers middle-market M&A advisory, municipal bond underwriting, corporate debt and equity underwriting, interest-rate and commodity hedging, and structured products through its capital markets group. The firm also operates a retail brokerage and wealth advisory platform serving clients of Fifth Third Private Bank.

Is Fifth Third Securities a separate entity from Fifth Third Bancorp?

It is a wholly owned subsidiary of Fifth Third Bancorp, not a standalone firm. The securities unit is consolidated into the parent bank's financial statements, and its leadership reports through the bank's management structure. An allocator cannot invest in the platform as a GP commitment; it functions as a service provider to the bank's clients.

What regions does Fifth Third Securities primarily serve?

Its client base mirrors Fifth Third Bancorp's banking footprint, concentrating in the Midwest and Southeast US. Key markets include Ohio, Illinois, Michigan, Florida, Georgia, and the Carolinas. The firm can execute nationally but derives most of its advisory and underwriting revenue from issuers and acquirers within the bank's geographic service area.

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