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Sandra A. Nies
FIFTH THIRD SECURITIES
Algonquin, IL 60102
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CRD#: 6882674
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Professional summary
Sandra A Nies, who also goes by Sandra Anne Kessler, Sandra Kessler, Sandra Anne Nies, Sandra Nies, Sandra A Nies, Sandy Nies, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Algonquin, Illinois.
Sandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Sandra has worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sandra Anne Kessler | Sandra Kessler | Sandra Anne Nies | Sandra Nies | Sandra A Nies | Sandy Nies
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.
CARY GROVE AREA CHAMBER OF COMMERCE POSITION: Vice Chairman of the Board NATURE: Board Member / Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 3 START DATE: 01/03/2022 ADDRESS: 210 Crystal ST., Cary IL 60014, United States DESCRIPTION: Provide support to the growth and development of the business community and improve on the quality of life for those who live and work in the Cary/Fox River Grove community.
CRS (Client Relationship Summary) - RIA
Click below to view Sandra A Nies's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sandra A Nies'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 4, 2024 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 450 S Randall Road, Algonquin, IL 60102Office #2: 750 Northwest Highway, Cary, IL 60013Office #3: 265 Virginia Street, Crystal Lake, IL 60014RIA
BD
CRD#: 628
Algonquin, IL
Current
April 4, 2024 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 450 S Randall Road, Algonquin, IL 60102Office #2: 750 Northwest Highway, Cary, IL 60013Office #3: 265 Virginia Street, Crystal Lake, IL 60014RIA
BD
CRD#: 628
Algonquin, IL
Past
February 28, 2023 - March 21, 2024
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
Palatine, IL
Past
February 7, 2023 - March 21, 2024
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
Palatine, IL
Past
September 14, 2021 - November 8, 2022
PARK AVENUE INVESTMENT ADVISORY, LLC
RIA
CRD#: 310203
Chicago, IL
Past
May 14, 2018 - June 9, 2021
RIVER STREET ADVISORS, LLC
RIA
CRD#: 153537
AURORA, IL
Past
January 30, 2018 - March 16, 2018
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
BARRINGTON, 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
Illinois(4/4/2024)
IAR
Illinois(4/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 2/28/2023
Investment Company Products/Variable Contracts 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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