Adriana M. Bastos-randall

FIFTH THIRD SECURITIES

Woodmere, OH 44122

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CRD#: 2566785

Professional summary

Adriana M Bastos-randall, who also goes by Adriana M Bastos, Adriana Maria Bastos, Adriana Bastos-hostetler, Adriana Maria Bastos-randall, Adriana M Randall, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Woodmere, Ohio.

Adriana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Adriana has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adriana M Bastos | Adriana Maria Bastos | Adriana Bastos-Hostetler | Adriana Maria Bastos-Randall | Adriana M Randall

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) - RIA

Click below to view Adriana M Bastos-randall's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Adriana M Bastos-randall'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

July 7, 2022 - Present

FIFTH THIRD SECURITIES, INC.

Office #1: 28300 Chagrin Boulevard, Woodmere, OH 44122

RIA

CRD#: 628

Woodmere, OH

Current

July 6, 2022 - Present

FIFTH THIRD SECURITIES, INC.

Office #1: 28300 Chagrin Boulevard, Woodmere, OH 44122

RIA

CRD#: 628

Woodmere, OH

Past

June 25, 2021 - June 28, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

AKRON, OH

Past

June 25, 2021 - June 28, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

AKRON, OH

Past

April 9, 2018 - August 2, 2019

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

BEACHWOOD, OH

Past

April 9, 2018 - August 2, 2019

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

BEACHWOOD, OH

Past

April 28, 2008 - April 9, 2018

MCDONALD PARTNERS LLC

RIA

CRD#: 135414

CLEVELAND, OH

Past

April 28, 2008 - April 9, 2018

MCDONALD PARTNERS LLC

CRD#: 135414

CLEVELAND, OH

Past

July 5, 2007 - October 25, 2007

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

MENOMONEE FALLS, WI

Past

March 8, 2007 - October 25, 2007

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

MENOMONEE FALLS, WI

Past

March 2, 2004 - August 9, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MILWAUKEE, WI

Past

February 26, 2004 - August 9, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MILWAUKEE, WI

Past

April 30, 2001 - February 23, 2004

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

February 12, 1998 - May 15, 2001

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

February 14, 1997 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

February 14, 1997 - September 19, 1997

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

July 10, 1996 - August 9, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Colorado
(8/25/2022)

Florida
(8/25/2022)

Kentucky
(8/25/2022)

Michigan
(7/6/2022)

Ohio
(7/6/2022)

IAR

Ohio
(7/7/2022)

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

State Security Law Exam

IAR

Series 65

Date: 3/4/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/20/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/9/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/13/2018

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/2/2018

General Securities Sales Supervisor - Options Module 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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Advisor Monitoring

Firm Stability Insights

Adriana M. Bastos-randall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adriana M Bastos-randall's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Adriana M Bastos-randall's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIFTH THIRD SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MCDONALD PARTNERS LLC

MCDONALD PARTNERS LLC

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FERRIS, BAKER WATTS, LLC

LADENBURG THALMANN & CO. INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

FIFTH THIRD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/2004

Series 63

Date: 11/20/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/9/1996

Series 10

Date: 8/13/2018

Series 9

Date: 6/2/2018

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.

TRUST BUT VERIFY

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