Jarrett Jacobs
Jarrett Jacobs has been the Chief Compliance Officer of Fifth Third Securities' registered investment advisor since June 2006 and has been the CCO of Fifth third Securities' broker-dealer since October 2012. Fifth Third Securities, Inc. is a broker-dealer, registered investment advisor, and municipal advisor engaged in retail brokerage/advisory and investment banking activities (e.g., institutional sales, corporate and municipal underwriting, M&A, etc.). As CCO, he is responsible for the overall compliance program for Fifth Third Securities including, but is not limited to, regulatory exams, policies and procedures, surveillance and testing, registrations, complaints, and potential financial abuse cases. Jarrett been in securities compliance since 1998 and has supervised over a dozen regulatory exams and hundreds of regulatory inquiries. Prior to joining Fifth Third Securities, Jarrett was the RIA Compliance Officer for Raymond James Financial Services (RJFS) where he oversaw the compliance program for RJFS' registered investment advisor, and prior to RJFS he was a Compliance Officer for SII Investments and Investment Centers of America, two broker-dealers and registered investment advisors who were part of the National Planning Holdings network of firms. Jarrett previously served on the U.S. Department of Treasury's Bank Secrecy Act Advisory Group - Securities and Futures subcommittee. He earned his BBA from University of Wisconsin-Whitewater majoring in Finance and Political Science, he holds FINRA Series 4, 7, 24, 53, and NASAA 66 securities registrations, and holds the Certified Regulatory and Compliance Professional (CRCP®) designation.