CRD #628 · FINRA BrokerCheck + SEC IAPD

Fifth Third Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Fifth Third Securities, Inc. ranks #80 of 20,055 by disclosure count (most disclosures first). Among firms registered in OH, it ranks #1 of 57 on the same disclosure sort used on the state browse page. Fifth Third Securities, Inc. carries 57 BrokerCheck disclosures across 1,391 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
1,391
branch offices
57
disclosures
#80 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 628 Fifth Third Securities, Inc.

Fifth Third Securities, Inc. · Grade B · 57 disc · 0.04/office · National firm

  • CRD 628
  • GRADE B
  • DISC 57
  • REG 38
  • ARB 19
  • CIV 0
  • BRANCH 1,391
  • PER-OFF 0.04
  • RANK #80 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: Wells Fargo Advisors Financial Network, LLC (0.04 disc/office)

Wells Fargo Advisors Fi…0.04Morgan Stanley0.05Raymond James Financial…0.05Fifth Third Securit… (this)0.04
Disclosures per office among national firm peers (lower is cleaner)

Fifth Third Securities, Inc. ranks #80 of 20,055 by disclosure count among graded broker-dealers; light load at 0.04 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

1,391 offices

FINRA: Large firm

Total disclosures

57 events

On FINRA BrokerCheck

Regulatory events

38 actions

67% of all disclosures

Disclosures per office

0.04 per office

57 ÷ 1,391 offices

Fifth Third Securities, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 93% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 38
Arbitrations 19
Civil Events 0
Total 57

Counts for Fifth Third Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 38 Arbitration 19 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Cincinnati, OH
CRD Number
628

Lower disclosures per office

Fifth Third Securities, Inc. in the heavier-disclosure third

Fifth Third Securities, Inc. carries 57 BrokerCheck disclosures across 1,391 branch offices - a heavier-third raw book among graded firms (#80 of 20,055). Regulator-initiated events are 67% of the book (38 regulatory / 19 arbitration / 0 civil).

Fifth Third Securities, Inc. runs 0.04 disclosures per branch office (cleaner than 93% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Fifth Third Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Ohio cohort · 14× state average

Fifth Third Securities, Inc. sits above the Ohio disclosure average

Fifth Third Securities, Inc. reports 57 BrokerCheck disclosures, 14× the Ohio average of 4.1 across 57 graded firms with a principal-office state on file.

In Ohio, 26 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Ohio state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Fifth Third Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Fifth Third Securities, Inc. ranks #80 of 20,055 by disclosure count (most disclosures first). Among firms registered in OH, it ranks #1 of 57 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Fifth Third Securities, Inc.?
A grade of B reflects Fifth Third Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 57 total disclosures across 1,391 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Fifth Third Securities, Inc. have?
Fifth Third Securities, Inc. has 57 total FINRA disclosures, including 38 regulatory events, 19 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Fifth Third Securities, Inc.?
Fifth Third Securities, Inc. operates 1,391 branch offices and is classified by FINRA as a large firm, registered in OH (National firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Fifth Third Securities, Inc.'s disciplinary record?
You can verify Fifth Third Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 628. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Fifth Third Securities, Inc.'s 57 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Fifth Third Securities, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Fifth Third Securities, Inc. carries 57 disclosures across 1,391 branch offices (about 0.04 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Fifth Third Securities, Inc., both outside OH so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.