Donald E. Smallwood

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CRD#: 2154135

Professional summary

Donald Everett Smallwood JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Donald is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Donald had worked at 5 firms, which includes FIFTH THIRD SECURITIES INC., EQUITABLE ADVISORS LLC, ESSEX SECURITIES LLC, AMERICAN GENERAL SECURITIES INCORPORATED, VERAVEST INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 18, 2007 - April 21, 2008

FIFTH THIRD SECURITIES, INC.

CRD#: 628

MARS, PA

Past

February 23, 2007 - May 17, 2007

FIFTH THIRD SECURITIES, INC.

CRD#: 628

MARS, PA

Past

November 10, 2005 - November 8, 2006

EQUITABLE ADVISORS, LLC

CRD#: 6627

PITTSBURGH, PA

Past

April 29, 2005 - August 11, 2005

ESSEX SECURITIES LLC

CRD#: 46605

JERSEY CITY, NJ

Past

April 13, 2004 - April 29, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

January 19, 2001 - December 31, 2003

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

July 15, 1991 - December 5, 2000

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 7/12/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/12/1991

Investment Company Products/Variable Contracts Representative Examination

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)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PASSAGEWAY MANAGED ACCOUNT PROGRAM BROCHURE (7/14/2025)

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	Cover Page	Report
08/26/2024	Cover Page	Report
10/20/2023	Cover Page	Report

Red Flags

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Donald E. Smallwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIFTH THIRD SECURITIES, INC.

EQUITABLE ADVISORS, LLC

ESSEX SECURITIES LLC

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

FIFTH THIRD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1991

Series 6

Date: 7/12/1991

Current Firm

FIFTH THIRD SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIFTH THIRD SECURITIES, INC.

TRUST BUT VERIFY

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