GW
Glen Whittington
FIFTH THIRD SECURITIES
Cincinnati, OH 45263
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CRD#: 6118803
GW
Professional summary
Glen Whittington, who also goes by Glen Whittington, Glen Dayton Whittington, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Cincinnati, Ohio.
Glen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Glen has worked at 8 firms and has passed the Series 66, Series 57TO, SIE, Series 52, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Glen Whittington | Glen Dayton Whittington
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 Glen Whittington's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Glen Whittington'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
April 20, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 5001 Kingsley Drive, Cincinnati, OH 45263RIA
BD
CRD#: 628
Cincinnati, OH
Current
April 19, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 5001 Kingsley Drive, Cincinnati, OH 45263RIA
BD
CRD#: 628
Cincinnati, OH
Past
October 7, 2022 - April 4, 2023
TRIAD ADVISORS LLC
RIA
CRD#: 25803
ATLANTA, GA
Past
October 7, 2022 - December 8, 2022
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
October 7, 2022 - April 4, 2023
TRIAD ADVISORS LLC
BD
CRD#: 25803
ATLANTA, GA
Past
August 19, 2021 - August 3, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Worthington, OH
Past
August 18, 2021 - August 3, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
March 19, 2019 - September 1, 2020
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
COLUMBUS, OH
Past
March 19, 2019 - September 1, 2020
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
Past
June 13, 2018 - September 18, 2018
YOUR PLANNING PARTNER LLC
RIA
CRD#: 283647
PALM BEACH GARDENS, FL
Past
November 17, 2017 - March 14, 2018
BMO NESBITT BURNS SECURITIES LTD.
BD
CRD#: 44057
MONCTON, NEW BRUNSWICK,
Past
April 13, 2015 - November 1, 2017
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
COLUMBUS, OH
Past
January 16, 2014 - November 1, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
COLUMBUS, OH
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
Ohio(4/20/2023)
IAR
Ohio(4/20/2023)
Exams
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
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 628Cincinnati, OH 45263TRUST BUT VERIFY
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