Fifth Third Securities Disclosures
Form CRS provides important information about Fifth Third Securities including, the types of services we offer and some key differences between these services, conflicts of interest we can have, and key questions (conversation starters) you can ask your Financial Professional.
Additional Links and Disclosures
Anti-money Laundering: this link provides additional details on how Fifth Third Bank is committed to complying with all applicable laws and regulations to combat money laundering and any activity that facilitates the funding of terrorism or other criminal enterprises.
Business Continuity: this link provides additional information for a plan to help minimize the disruption to Fifth Third Securities personnel, automated systems, and our customers. Fifth Third Securities, in cooperation with parent company, Fifth Third Bank, National Association, has established a comprehensive plan for its response to business disruptions that result from both natural and man-made emergencies.
Brokerage & Insurance Conflicts of Interest Disclosures: this link contains information about certain business practices, compensation, and conflicts of interest related to the brokerage and insurance business of FTS for retail customers.
BrokerCheck®: visit FINRA’s BrokerCheck® link to learn more about our financial professional and Fifth Third Securities.
Certificate of Deposit Disclosure Statement
Client Profile Update Form for NFS accounts- this link provides a copy of the form that can be used to provide Fifth Third Securities with updated profile information for your account held through National Financial Services LLC (“NFS”).
Core Account Investment Vehicle Disclosure Summary: this link provides different core account investment vehicles that may have different rates of return and different terms and conditions, such as FDIC Insurance or SIPC protection. The summary contains key information about the Fifth Third Bank Deposit Program (the "Fifth Third Sweep Program"). The Fifth Third Sweep Program is one of Fifth Third Securities, Inc.’s ("Fifth Third Securities") core account investment vehicles for available cash balances.
Digital Services Disclosure: this disclosure link provided by Fifth Third Securities, Inc. ("Fifth Third") to govern the use of Fifth Third Digital Services which include, without limitation, online account access via various product companies and National Financial Services LLC ("NFS"), mobile access, and remote check deposit and imaging services.
Direct Business Suitability Update Form: this link provides a copy of the form that can be used to provide Fifth Third Securities with updated profile information for your account held through a mutual fund or variable insurance company.
Held Order Routing 606a Reports: this link provides more information about how your held orders (when you have not given Fifth Third Securities, Inc. price and time discretion for your order) were routed prior to 2020. Select Fifth Third Securities from the Broker/Dealer option, then select the Quarter for the 606 Report, and hit display. For any quarter, beginning, January 1, 2020 click Held Order Routing 606a Reports (Beginning 2020).
Not-Held Order Routing 606(b)(3) Reports: Should you wish to receive information regarding your not-held orders (when you have given Fifth Third Securities price and time discretion for your order) for the past six months please contact 1-866-671-5353.
Low Income Credit Union Share Certificate Disclosure Statement
Municipal Securities Rulemaking Board: this link provides more information about the Municipal Securities Rulemaking Board ("MSRB"). There is an MSRB Investor Brochure available on the MSRB website that describes the protections available under MSRB rules and how to file a complaint with an appropriate regulatory authority. Fifth Third Securities, Inc. is registered with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board.
Options Clearing Corporation this link provides more information about the Options Clearing Corporation ("OCC"). You may also obtain a copy of the Characteristics and Risks of Standardized Options brochure, also known as the Options Disclosure Document ("ODD").
Passageway Managed Account Program: this link provides additional information for the Passageway Managed Account Wrap Fee Program Brochure–Form ADV Part 2A. Please contact your Financial Professional for more details. Passageway is an investment advisory service offered by Fifth Third Securities.
Passageway FTS Only Due Diligence List
Privacy Policies: this link provides additional information on how Fifth Third chooses to collect, share, and protect your personal information.
Securities Electronic Communications Disclosure
Share Certificate Disclosure Statement
SIFMA’s Investor's Guide to RMBS & CMOs: this link provides additional information for Residential Mortgage-Backed Securities (RMBS) and Collateralized Mortgage Obligations (CMOs).
Statement of Financial Condition - Audited: this link provides a copy of Fifth Third Securities’ Statement of Financial Condition, Notes to the Financial Statement, and Report of Independent Registered Public Accounting Firm.
Statement of Financial Condition - Unaudited: this link provides a copy of the accompanying unaudited Statement of Financial Condition of Fifth Third Securities, Inc., a wholly-owned subsidiary of Fifth Third Bank, and is being provided pursuant to Rule 17a-5(c) of the Securities Exchange Act of 1934.
Commission and Fee Schedules
Fifth Third Securities: Standard Commission and Fee Schedule
Fifth Third Securities: Online Commission and Fee Schedule
Fifth Third Private Bank: Commission and Fee Schedule
Fifth Third Preferred: Commission and Fee Schedule
Investing involves risk, including the possible loss of principal invested.
Fifth Third Securities does not provide tax or legal advice. Please consult your tax advisor or attorney before making any decisions or taking any action based on this information.
Diversification and asset allocation do not guarantee better performance and cannot eliminate the risk of investment loss.
Fifth Third Bank, National Association, provides access to investments and investment services through various subsidiaries, including Fifth Third Securities.
Fifth Third Securities is the trade name used by Fifth Third Securities, Inc., member FINRA/SIPC, a registered broker-dealer and a registered investment advisor registered with the U.S. Securities and Exchange Commission (SEC). Registration does not imply a certain level of skill or training.
Securities, Investments, Investment Advisory Services, 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.