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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Sandra Nies

Advisor at FIFTH THIRD SECURITIES, INC.

ALGONQUIN, IL | CRYSTAL LAKE, IL | CARY, IL

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Search this name across graphsid dfx:ria:65793584-384e-4455-d20f-7f56a3856514

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: May 14, 2018 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIFTH THIRD SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 14, 2018
First registration: May 14, 2018
Dual registered: yes, broker-dealer
Other names: Sandy Nies|SANDRA NIES|SANDRA ANNE NIES|Sandra Kessler|Sandra Anne Kessler|Sandra A Nies
IAPD individual key: 6882674

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Apr 4, 2024	n/a	yes	CARY, IL\|ALGONQUIN, IL\|CRYSTAL LAKE, IL	Current employment
HUNTINGTON FINANCIAL ADVISORS	Bd affiliated wealth	Feb 7, 2023	Mar 21, 2024	no	Palatine, IL	Previous registration
GUARDIAN WEALTH PARTNERS, LLC	Independent wealth	Sep 14, 2021	Nov 8, 2022	no	Chicago, IL	Previous registration
RIVER STREET ADVISORS, LLC	Independent wealth	May 14, 2018	Jun 9, 2021	no	AURORA, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HUNTINGTON FINANCIAL ADVISORS	FIFTH THIRD SECURITIES, INC.	Mar 21, 2024	Apr 4, 2024	14	Firm change	Ibd to ibd
GUARDIAN WEALTH PARTNERS, LLC	HUNTINGTON FINANCIAL ADVISORS	Nov 8, 2022	Feb 7, 2023	91	Firm change	Ibd to ibd
RIVER STREET ADVISORS, LLC	GUARDIAN WEALTH PARTNERS, LLC	Jun 9, 2021	Sep 14, 2021	97	Firm change	RIA to new firm

Relationships

Registered with (4)

→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: current employment
Apr 4, 2024 to presentfactForm ADV
→ HUNTINGTON FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Feb 7, 2023 to Mar 21, 2024factForm ADV
→ GUARDIAN WEALTH PARTNERS, LLCRegistered adviserregistration: previous registration
Sep 14, 2021 to Nov 8, 2022factForm ADV
→ RIVER STREET ADVISORS, LLCRegistered adviserregistration: previous registration
May 14, 2018 to Jun 9, 2021factForm ADV

Dated events

Occurred
Mar 21, 2024
Advisor changed firm
Sandra Nies left Huntington Financial Advisors for Fifth Third Securities, Inc. (registered 2024-04-04)
Form ADVobserved 6 days ago
Occurred
Nov 8, 2022
Advisor changed firm
Sandra Nies left Guardian Wealth Partners, Llc for Huntington Financial Advisors (registered 2023-02-07)
Form ADVobserved 6 days ago