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Kevin Brock Smith

Fifth Third Securities, Inc.

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About Kevin Brock Smith

Kevin Brock Smith is a financial advisor with Fifth Third Securities, Inc. Kevin has been in the industry since 1998. Kevin has experience working with individuals, businesses, and institutions. Kevin holds the Series 7, 63, 65, and 9 licenses, and provides financial planning, portfolio management, and other services.

Firm Information

Kevin Smith 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.

8120 OAKLANDON ROAD

INDIANAPOLIS, IN 46236

$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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Kevin Smith’s Registration & Firm History

IN

11/30/2016 - Present

Fifth Third Securities, Inc. (INDIANAPOLIS IN)

IN

07/22/2005 - 04/16/2007

CHASE INVESTMENT SERVICES CORP. (INDIANAPOLIS IN)

MO

11/19/2002 - 07/06/2004

EDWARD JONES (ST. LOUIS MO)

TX

08/25/1998 - 11/07/2002

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

IA

Issued 11/28/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 9/18/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/5/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/8/2023

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

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/20/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Kevin Brock Smith. Review regulatory record here.
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