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Diane Loretta Bauer

Fifth Third Securities, Inc.

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About Diane Loretta Bauer

Diane Loretta Bauer is a financial advisor with Fifth Third Securities, Inc. She has been working in the financial services industry since 1999 and is currently registered with the state of Michigan. Diane has earned several professional licenses and certifications, including the Series 6, 7, and 66 exams. Prior to joining Fifth Third Securities, Inc., Diane worked at BANC ONE SECURITIES CORPORATION in Chicago, Illinois. Diane specializes in working with individual clients and businesses.

Firm Information

Diane Bauer 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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Diane Bauer’s Registration & Firm History

MI

02/08/2010 - Present

Fifth Third Securities, Inc. (SHELBY TOWNSHIP MI)

IL

04/12/2001 - 07/28/2004

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

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Licenses & Designations

BOTH

Issued 01/29/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/12/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/03/2007

Series 7 - General Securities Representative Examination

BC

Issued 04/11/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Diane Loretta Bauer.
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