FP
Frankie A. Portugal
FIFTH THIRD SECURITIES
Boca Raton, FL 33432
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CRD#: 2522168
FP
Professional summary
Frankie Alejandro Portugal, who also goes by Frankie A Portugal, Frank Portugal, Frankie Alejandro Portugal, Frankie A Vazquez, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Boca Raton, Florida.
Frankie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Frankie has worked at 11 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frankie A Portugal | Frank Portugal | Frankie Alejandro Portugal | Frankie A Vazquez
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 Frankie Alejandro Portugal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frankie Alejandro Portugal'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
September 20, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 120 E. Palmetto Park Road Suite 100, Boca Raton, FL 33432Office #2: 10891 South Jog Road, Boynton Beach, FL 33437Office #3: 9035 Lafontana Blvd, Boca Raton, FL 33434Office #4: 7028 W Palmetto Park Rd #101, Boca Raton, FL 33433RIA
BD
CRD#: 628
Boca Raton, FL
Current
January 23, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 120 E. Palmetto Park Road Suite 100, Boca Raton, FL 33432Office #2: 10891 South Jog Road, Boynton Beach, FL 33437Office #3: 9035 Lafontana Blvd, Boca Raton, FL 33434Office #4: 7028 W Palmetto Park Rd #101, Boca Raton, FL 33433RIA
BD
CRD#: 628
Boca Raton, FL
Past
October 23, 2019 - December 11, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BOCA RATON, FL
Past
May 2, 2019 - October 3, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
HALLANDALE, FL
Past
October 14, 2014 - December 19, 2018
SANTANDER US CAPITAL MARKETS LLC
BD
CRD#: 150696
Ft Lauderdale, FL
Past
June 16, 2014 - October 14, 2014
AMHERST SECURITIES GROUP, L.P.
BD
CRD#: 31141
BOCA RATON, FL
Past
January 2, 2013 - November 5, 2013
BB&T SECURITIES, LLC
RIA
CRD#: 142785
BOCA RATON, FL
Past
January 2, 2013 - November 5, 2013
BB&T SECURITIES, LLC
BD
CRD#: 142785
BOCA RATON, FL
Past
November 23, 2010 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
BOCA RATON, FL
Past
November 15, 2010 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
BOCA RATON, FL
Past
April 27, 2010 - November 8, 2010
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
KEY BISCAYNE, FL
Past
February 1, 2010 - November 8, 2010
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
KEY BISCAYNE, FL
Past
December 13, 2007 - October 30, 2009
COLONIAL BROKERAGE, INC.
BD
CRD#: 111668
FT. LAUDERDALE, FL
Past
February 24, 2003 - December 3, 2007
AMHERST SECURITIES GROUP, L.P.
BD
CRD#: 31141
BOCA RATON, FL
Past
August 10, 2001 - February 28, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
ORLANDO, FL
Past
August 10, 2001 - February 28, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 21, 2000 - August 22, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
California(1/23/2023)
RR
Florida(1/23/2023)
IAR
Florida(9/20/2023)
RR
Kentucky(8/9/2024)
RR
Michigan(8/19/2025)
RR
Ohio(8/9/2024)
RR
Pennsylvania(6/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/6/2004
Limited Representative-Equity Trader ExamGeneral 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#: 628Boca Raton, FL 33432TRUST BUT VERIFY
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