Claire S. Marsh

FIFTH THIRD SECURITIES

Houston, TX 77056

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CRD#: 2891873

Professional summary

Claire S Marsh, who also goes by Claire Santiago Marsh, Claire Penaflor Santiago, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Houston, Texas.

Claire is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Claire has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.

Aliases

Claire Santiago Marsh | Claire Penaflor Santiago

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.

Outside Employment; Comerica; Registered Client Service Associate; I am registered with Ameriprise Financial as a Registered Client Services Associate; 2 Riverway Drive, Suite 1400, MC 6220, Houston, TX, 77056; Investment-Related; 11/06/2023; 60 hours per month; 60 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Claire S Marsh's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Claire S Marsh'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 8, 2026 - Present

FIFTH THIRD SECURITIES, INC.

Office #1: 2 Riverway Drive Suite 1400, Houston, TX 77056

RIA

CRD#: 628

Houston, TX

Current

July 8, 2026 - Present

FIFTH THIRD SECURITIES, INC.

Office #1: 2 Riverway Drive Suite 1400, Houston, TX 77056

RIA

CRD#: 628

Houston, TX

Past

November 3, 2023 - September 22, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Houston, TX

Past

November 3, 2023 - September 22, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Houston, TX

Past

July 27, 2007 - November 3, 2023

COMERICA SECURITIES

RIA

CRD#: 17079

HOUSTON, TX

Past

July 27, 2007 - November 3, 2023

COMERICA SECURITIES

CRD#: 17079

HOUSTON, TX

Past

April 4, 2006 - June 22, 2006

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

HOUSTON, TX

Past

April 4, 2006 - February 27, 2007

FSC SECURITIES CORPORATION

CRD#: 7461

HOUSTON, TX

Past

March 24, 2004 - November 7, 2005

TD AMERITRADE, INC.

RIA

CRD#: 7870

HOUSTON, TX

Past

March 24, 2004 - November 7, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

November 24, 2003 - April 16, 2004

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

HOUSTON, TX

Past

July 8, 2003 - April 16, 2004

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

May 22, 1997 - September 17, 2001

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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
(7/8/2026)

Louisiana
(9/22/2026)

Michigan
(7/23/2026)

New York
(7/8/2026)

North Carolina
(9/22/2026)

Texas
(7/8/2026)

IAR

Texas
(7/8/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 3/14/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 5/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 8/22/1997

General Securities Representative Examination

General Industry/Product Exam

Series 52

Status Unavailable

Passed: 5/21/1997

Municipal Securities Representative 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 1090xb, 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

13,533

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 WRAP FEE PROGRAM BROCHURE (7/14/2026)

SUMMIT MANAGED ACCOUNT FIRM BROCHURE (7/14/2026)

COMPASS MANAGED ACCOUNT FIRM BROCHURE (7/14/2026)

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	47,014
AUM (Assets Under Management)	$ 10,924,793,999

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

Claire S. Marsh

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Claire S Marsh's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Claire S Marsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIFTH THIRD SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

COMERICA SECURITIES

COMERICA SECURITIES

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

TD AMERITRADE, INC.

TD AMERITRADE, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

FIFTH THIRD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Passed: 3/14/2001

Series 63

Passed: 5/28/1997

SIE

Passed: 10/1/2018

Series 7

Passed: 8/22/1997

Series 52

Passed: 5/21/1997

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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