Robert Traina
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert Rizzo Traina
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Years of Experience
34 years in the financial services industry
Current & Past Employments
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Current Firm
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
Contact Information
Main Address
34 Fountain Square Plaza Md 1090xb, Cincinnati, OH 45263Mailing Address
38 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263Phone Number
(888) 889-1025Established
Ohio since 05/01/1925Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
13,533SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
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
47,014AUM (Assets Under Management)
$10,924,793,999Disclosures
Regulatory Event
38Arbitration
19Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | Cover Page | Report |
| 08/26/2024 | Cover Page | Report |
| 10/20/2023 | Cover Page | Report |
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
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.
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Primary Firm SEC Registration
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
State Registrations and Notice Filings
(2/26/2024)
(3/16/2026)
(6/4/2021)
(6/4/2021)
(8/10/2021)
(6/16/2021)
(8/12/2021)
(9/20/2023)
(11/20/2023)
(8/10/2021)
(6/14/2021)
(8/10/2021)
(8/10/2021)
(7/29/2021)
(6/10/2021)
(8/9/2021)
(6/10/2021)
(11/3/2022)
(8/10/2021)
(4/29/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jun 1992Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2005About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2005About the Series 9 examSRO Registrations
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
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).
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
