RT
Robert Traina
FIFTH THIRD SECURITIES
Fort Myers, FL 33908
Some features on this profile are disabled
CRD#: 2031399
RT
Professional summary
Robert Traina, who also goes by Robert Rizzo Traina, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Fort Myers, Florida.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 62, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Rizzo Traina
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Traina's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Traina's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 4, 2021 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 15221 Tamiami Trail S., Fort Myers, FL 33908Office #2: 9000 Park Royal Drive, Fort Myers, FL 33908Office #3: 2898 Tamiami Trail E, Naples, FL 34112Office #4: 8800 West Terry Street, Bonita Springs, FL 34135Office #5: 9021 Bonita Beach Road, Bonita Springs, FL 34135Office #6: 12971 Bonita Beach Road Se, Bonita Springs, FL 34135RIA
BD
CRD#: 628
Fort Myers, FL
Current
June 3, 2021 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 15221 Tamiami Trail S., Fort Myers, FL 33908Office #2: 9000 Park Royal Drive, Fort Myers, FL 33908Office #3: 2898 Tamiami Trail E, Naples, FL 34112Office #4: 8800 West Terry Street, Bonita Springs, FL 34135Office #5: 9021 Bonita Beach Road, Bonita Springs, FL 34135Office #6: 12971 Bonita Beach Road Se, Bonita Springs, FL 34135RIA
BD
CRD#: 628
Fort Myers, FL
Past
October 1, 2013 - June 8, 2021
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Deer Park, NY
Past
July 23, 2013 - August 23, 2013
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Deer Park, NY
Past
July 23, 2013 - June 8, 2021
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Deer Park, NY
Past
June 10, 2010 - July 15, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BABYLON, NY
Past
June 10, 2010 - July 15, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BABYLON, NY
Past
June 14, 2007 - May 28, 2010
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW YORK, NY
Past
January 1, 2005 - May 28, 2010
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
February 13, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
June 17, 1999 - January 30, 2004
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
March 3, 1998 - April 6, 1999
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
NEW YORK, NY
Past
June 12, 1992 - March 24, 1998
BLUESTONE CAPITAL CORP.
BD
CRD#: 13516
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FIFTH THIRD SECURITIES, INC.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/26/2024)
RR
Florida(6/4/2021)
IAR
Florida(6/4/2021)
RR
Georgia(8/10/2021)
RR
Illinois(6/16/2021)
RR
Kentucky(8/12/2021)
RR
Louisiana(9/20/2023)
RR
Maryland(11/20/2023)
RR
Massachusetts(8/10/2021)
RR
Michigan(6/14/2021)
RR
Minnesota(8/10/2021)
RR
Nebraska(8/10/2021)
RR
New Jersey(7/29/2021)
RR
New York(6/10/2021)
RR
North Carolina(8/9/2021)
RR
Ohio(6/10/2021)
RR
Oregon(11/3/2022)
RR
Tennessee(8/10/2021)
RR
Texas(4/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/10/1992
Corporate Securities Limited Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FIFTH THIRD SECURITIES, INC.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
34 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Mailing Address
38 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Phone number
(888) 889-1025
Established
Ohio since 05/01/1925
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,349
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIFTH THIRD SECURITIES, INC.
CRD#: 628Fort Myers, FL 33908TRUST BUT VERIFY
Monitor Robert Traina
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
