Costa Mesa, CA Office
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FIFTH THIRD SECURITIES, Inc.
Enterprise
Firm-wide stats for FIFTH THIRD SECURITIES, Inc.
About
Fifth Third Securities, Inc. serves a broad mix of individual (including high‑net‑worth) and institutional clients — corporations, trusts, retirement accounts and other business entities — through both investment advisory and brokerage channels. The firm sponsors the Passageway Managed Account Program, a wrap‑fee platform delivered via Fidelity’s Managed Account Xchange (FIWA) with National Financial Services (NFS) as clearing custodian, and is registered as a broker‑dealer, SEC‑registered investment adviser, and municipal advisor.
Investment services are provided through multiple program types and third‑party portfolio managers available on the Passageway platform; clients work with an Investment Advisor Representative to establish a risk profile and select programs ranging from advisor‑directed mutual‑fund/ETF models to SMA strategies, tax‑overlay services, and direct‑indexing options. The firm discloses that IARs may act as portfolio managers in certain programs, that FIWA performs platform due diligence, and that some SMA managers use direct indexing and tax‑loss harvesting techniques.
Noteworthy distinctions include its corporate structure as a direct wholly owned subsidiary of Fifth Third Bank and the firm’s retained municipal‑advisor and broker‑dealer activities, which the ADV discloses alongside related regulatory matters and potential conflicts tied to underwriting, clearing arrangements, and advisor compensation. At enterprise scale — roughly $10.9 billion in AUM, about 919 advisors and over 46,000 clients — the brochure details multiple affiliated entities, program fees, and disclosure of conflicts so prospective clients can review how these relationships may affect advisory recommendations.
Based on FIFTH THIRD SECURITIES, Inc.
Expertise
Based on FIFTH THIRD SECURITIES, Inc.
Location
611 Anton Blvd., Suite 200
Costa Mesa CA 92626
Advisors at this office
3
Advisors at this office
Matthew B
Series 63, Series 66
Costa Mesa, CA
FIFTH THIRD SECURITIES, Inc.
Matthew Browne is a financial advisor with Fifth Third Securities, Inc. in Costa Mesa, CA, holding Series 63 and Series 66 licenses and bringing 34 years of industry experience. His prior firms include Ameriprise Financial Services, LPL Financial, and Oppenheimer. Outside of advisory work, he has an ownership interest in Tanglewood Properties, a real estate business. Fifth Third Securities serves a diverse client base including individuals, high-net-worth clients, and institutions through investment advisory and brokerage channels. The firm offers multiple program types and third-party portfolio managers via its Passageway Managed Account platform and operates as a broker-dealer, SEC-registered investment adviser, and municipal advisor.
Andy N
Series 66, Series 63
Costa Mesa, CA
FIFTH THIRD SECURITIES, Inc.
Andy Nguyen is a financial advisor with Fifth Third Securities, Inc. based in Costa Mesa, CA, holding Series 66 and Series 63 licenses and bringing 12 years of industry experience. His prior roles include positions at Ameriprise, Comerica Securities, and Wells Fargo, covering both brokerage and banking functions. Nguyen is also involved in independent insurance brokering with John Hancock Financial and participates in a cash management platform for corporate and institutional clients. Fifth Third Securities, Inc. serves a broad range of individual and institutional clients through investment advisory and brokerage channels, offering multiple program types on the Passageway Managed Account platform. The firm operates as a wholly owned subsidiary of Fifth Third Bank and combines services including mutual funds, ETFs, SMA strategies, and direct indexing with various managed account solutions.
Stephen K
Series 63, Series 65
Costa Mesa, CA
FIFTH THIRD SECURITIES, Inc.
Stephen Kearns is a financial advisor with Fifth Third Securities, Inc. in Costa Mesa, California, holding Series 63 and Series 65 licenses and over 31 years in the industry. His prior experience includes roles at Ameriprise and Comerica Securities, where he served for seven years. Outside of his advisory work, he is a co-owner of Kearns Partnership LLC, a real estate business. Fifth Third Securities, Inc. serves individual and institutional clients through investment advisory and brokerage channels, offering a variety of program types on the Passageway Managed Account platform. The firm caters to a diverse client base including high-net-worth individuals, corporations, trusts, and retirement accounts.
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