AS
Amber C. Sutton
FIFTH THIRD SECURITIES
Algonquin, IL 60102
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CRD#: 5474274
AS
Professional summary
Amber Catherine Sutton, who also goes by Amber Catherine Giancaterino, Amber C Sutton, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Algonquin, Illinois.
Amber is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Amber has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amber Catherine Giancaterino | Amber C Sutton
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.
Big Money Trucking, Inc. - Spring Grove, IL - commercial trucking - administrative duties - 2 hrs/mo(0 during mkt hrs) - not investment related - will not interfere with duties at firm ----------------------------------------------------------------------------- Notary Public - Spring Grove, IL - authenticate signatures - nominal hrs/mo(0 during mkt hrs) - not investment related - will not interfere with duties at firm ----------------------------------------------------------------------------- DoTerra - Spring Grove, IL - essential oils - sales consultant - nominal hrs/mo (0 during mkt hrs) - not investment related - will not interfere with duties at firm ----------------------------------------------------------------------------- Little Cents, Inc. - Spring Grove, IL - bulk material transport - co-owner - 4 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm
CRS (Client Relationship Summary) - RIA
Click below to view Amber Catherine Sutton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amber Catherine Sutton'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
July 2, 2018 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 450 S Randall Road, Algonquin, IL 60102Office #2: 2121 North Richmond Road, Mchenry, IL 60050Office #3: 750 Northwest Highway, Cary, IL 60013Office #4: 459 S Rand Road, Lake Zurich, IL 60047Office #5: 472 West Liberty Street, Wauconda, IL 60084Office #6: 525 Newport Ct., Island Lake, IL 60042Office #7: 3196 W Il Route 60, Mundelein, IL 60060RIA
BD
CRD#: 628
Algonquin, IL
Current
May 10, 2018 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 450 S Randall Road, Algonquin, IL 60102Office #2: 2121 North Richmond Road, Mchenry, IL 60050Office #3: 750 Northwest Highway, Cary, IL 60013Office #4: 459 S Rand Road, Lake Zurich, IL 60047Office #5: 472 West Liberty Street, Wauconda, IL 60084Office #6: 525 Newport Ct., Island Lake, IL 60042Office #7: 3196 W Il Route 60, Mundelein, IL 60060RIA
BD
CRD#: 628
Algonquin, IL
Past
June 4, 2015 - January 24, 2018
NYLIFE SECURITIES LLC
BD
CRD#: 5167
DEERFIELD, IL
Past
February 6, 2008 - August 26, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CAROL STREAM, IL
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(12/6/2021)
RR
Florida(12/6/2021)
RR
Illinois(5/10/2018)
IAR
Illinois(7/2/2018)
RR
North Carolina(10/17/2025)
RR
Oregon(2/13/2024)
RR
Washington(5/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/29/2024
General Securities Representative ExaminationGeneral 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#: 628Algonquin, IL 60102TRUST BUT VERIFY
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