Scott C. Frail

FIFTH THIRD SECURITIES

CHARLOTTE, NC 28202

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CRD#: 2372547

Professional summary

Scott Christopher Frail is a registered financial professional currently at FIFTH THIRD SECURITIES, INC. located in Charlotte, North Carolina.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 7 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 53 exams.

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) - BD

Click below to view Scott Christopher Frail's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 26, 2026 - Present

FIFTH THIRD SECURITIES, INC.

Office #1: 201 N Tryon St, Charlotte, NC 28202

RIA

CRD#: 628

CHARLOTTE, NC

Past

November 12, 2021 - March 7, 2025

TRUIST SECURITIES, INC.

CRD#: 6271

CHARLOTTE, NC

Past

September 6, 2006 - June 28, 2021

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

August 22, 2003 - September 1, 2006

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

May 7, 2002 - August 29, 2003

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

December 8, 2000 - March 1, 2002

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

Past

February 15, 1994 - November 2, 2000

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

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.

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

Alaska
(2/2/2026)

Arizona
(2/9/2026)

Arkansas
(1/29/2026)

California
(1/27/2026)

Connecticut
(1/29/2026)

Delaware
(1/29/2026)

District of Columbia
(1/28/2026)

Florida
(1/27/2026)

Georgia
(1/29/2026)

Hawaii
(2/13/2026)

Idaho
(1/27/2026)

Illinois
(1/28/2026)

Indiana
(1/28/2026)

Iowa
(2/5/2026)

Kansas
(1/28/2026)

Kentucky
(1/28/2026)

Louisiana
(1/28/2026)

Maine
(1/28/2026)

Maryland
(2/5/2026)

Massachusetts
(2/19/2026)

Michigan
(1/28/2026)

Minnesota
(1/28/2026)

Mississippi
(2/3/2026)

Montana
(2/4/2026)

Nebraska
(1/28/2026)

Nevada
(1/28/2026)

New Jersey
(1/28/2026)

New Mexico
(1/28/2026)

New York
(1/28/2026)

North Carolina
(1/27/2026)

North Dakota
(2/2/2026)

Ohio
(1/27/2026)

Oklahoma
(1/28/2026)

Oregon
(2/9/2026)

Pennsylvania
(1/27/2026)

Rhode Island
(1/28/2026)

South Carolina
(2/4/2026)

South Dakota
(1/28/2026)

Tennessee
(1/29/2026)

Texas
(1/27/2026)

Utah
(1/28/2026)

Vermont
(1/28/2026)

Virginia
(1/28/2026)

Washington
(1/29/2026)

West Virginia
(1/29/2026)

Wisconsin
(1/28/2026)

Wyoming
(1/28/2026)

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: 3/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/14/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/21/2007

Municipal Securities Principal Examination

SRO Registrations

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)

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 (2/2/2026)

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

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.

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Scott C. Frail

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Christopher Frail's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST SECURITIES, INC.

WELLS FARGO SECURITIES, LLC

SCOTT & STRINGFELLOW, LLC

ADVEST, INC.

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

FIFTH THIRD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/28/1994

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/14/1994

Series 53

Date: 6/21/2007

FINRA

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.

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