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Brian Waller

Fifth Third Securities, Inc.

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About Brian Waller

Brian Waller is a financial advisor registered with Fifth Third Securities, Inc. Brian has been working in the financial services industry for over 14 years and is dedicated to helping clients achieve their financial goals. Brian is a licensed securities professional and holds the Series 66, 63, 7, 6TO, and SIE licenses. Brian specializes in providing financial planning, portfolio management, and selection of other advisors services for individuals and businesses. Brian has experience working with clients of all types, including individuals, families, businesses, and institutions. Brian is committed to providing clients with personalized service and attention.

Firm Information

Brian Waller is currently registered with Fifth Third Securities, Inc.. Fifth Third Securities, Inc. is a corporation headquartered in Cincinnati, Ohio. Founded in 1925, the firm offers a variety of advisory services, including financial planning, portfolio management for individuals and businesses, and selection of other advisors. Fifth Third Securities, Inc. manages over $7.9 billion in assets for a diverse range of clients including individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. The firm also participates in a wrap fee program.
Fifth Third Securities, Inc.

34 FOUNTAIN SQUARE PLAZA

CINCINNATI, OH 45263

$7.98B

Assets Under Management

Not reported

Total Clients

1,080

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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sponsor wrap fee program

Sponsor wrap fee program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Brian Waller’s Registration & Firm History

IL

04/22/2021 - Present

Fifth Third Securities, Inc. (GLENVIEW IL)

IL

09/04/2008 - 11/04/2019

NYLIFE SECURITIES LLC (DEERFIELD IL)

MN

01/23/2006 - 06/08/2007

WORKMAN SECURITIES CORPORATION (EDEN PRAIRIE MN)

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Licenses & Designations

BOTH

Issued 03/30/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/03/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Brian Waller. Review regulatory record here.
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