SB
Salvador Briseno
FIFTH THIRD SECURITIES
Oak Lawn, IL 60453
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CRD#: 2169727
SB
Professional summary
Salvador Briseno is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Oak Lawn, Illinois.
Salvador is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Salvador has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Salvador Briseno's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Salvador Briseno'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
November 17, 2009 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 4850 W 95th Street, Oak Lawn, IL 60453Office #2: 7200 W. 87th Street, Bridgeview, IL 60455Office #3: 5750 W 87th Street, Burbank, IL 60459RIA
BD
CRD#: 628
Oak Lawn, IL
Current
November 17, 2009 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 4850 W 95th Street, Oak Lawn, IL 60453Office #2: 7200 W. 87th Street, Bridgeview, IL 60455Office #3: 5750 W 87th Street, Burbank, IL 60459RIA
BD
CRD#: 628
Oak Lawn, IL
Past
May 29, 2007 - December 10, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CHICAGO, IL
Past
May 29, 2007 - December 10, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHICAGO, IL
Past
January 9, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
CHICAGO, IL
Past
January 8, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
CHICAGO, IL
Past
April 28, 1998 - January 7, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CHICAGO, IL
Past
February 9, 1995 - January 7, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 22, 1994 - October 25, 1994
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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(9/3/2019)
RR
Arizona(11/17/2009)
RR
Arkansas(3/17/2023)
RR
California(11/19/2020)
RR
Florida(11/17/2009)
RR
Georgia(12/2/2013)
RR
Illinois(11/17/2009)
IAR
Illinois(11/17/2009)
RR
Indiana(11/17/2009)
RR
Iowa(2/9/2016)
RR
Kentucky(2/2/2012)
RR
Maryland(5/12/2021)
RR
Massachusetts(8/14/2024)
RR
Michigan(11/17/2009)
RR
Minnesota(3/4/2011)
RR
Missouri(3/4/2011)
RR
Nebraska(9/19/2024)
RR
Nevada(1/19/2024)
RR
New Mexico(11/19/2020)
RR
New York(3/4/2011)
IAR
New York(11/24/2024)
RR
North Carolina(11/17/2009)
RR
Ohio(7/30/2012)
RR
Oregon(2/26/2020)
RR
Pennsylvania(4/29/2014)
RR
South Carolina(7/22/2013)
RR
Tennessee(3/4/2011)
RR
Texas(3/4/2011)
RR
Virginia(3/4/2011)
RR
West Virginia(10/22/2010)
RR
Wisconsin(3/4/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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)
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#: 628Oak Lawn, IL 60453TRUST BUT VERIFY
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Contact information
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