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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

SARAH LALL

Advisor at FIFTH THIRD SECURITIES, INC.

PALATINE, IL | BUFFALO GROVE, IL | KILDEER, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 16, 2005 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: Jun 8, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jun 8, 2000
First registration: Jun 16, 2005
Dual registered: yes, broker-dealer
Other names: SARAH R LALL|SAROJINI LALL|SAROJINI RAJ LALL|SARAH RAJ LALL|SAROJINI J BAJAJ
IAPD individual key: 4146283

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	Aug 21, 2014	n/a	yes	KILDEER, IL\|BUFFALO GROVE, IL\|PALATINE, IL	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Apr 8, 2011	Aug 20, 2014	no	WEST DUNDEE, IL\|CARPENTERSVILLE, IL\|WEST DUNDEE, IL\|ALGONQUIN, IL\|HUNTLEY, IL\|CYRSTAL LAKE, IL	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Jan 9, 2008	Apr 8, 2011	no	Highwood, IL\|Wheeling, IL\|Deerfield, IL\|Palatine, IL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 6, 2005	Jan 2, 2008	no	PALATINE, IL\|CHICAGO, IL	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Jun 16, 2005	Jul 6, 2005	no	PALATINE, 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
PNC WEALTH MANAGEMENT	FIFTH THIRD SECURITIES, INC.	Aug 20, 2014	Aug 21, 2014	1	Firm change	Other
U.S. BANCORP INVESTMENTS, INC.	PNC WEALTH MANAGEMENT	Apr 8, 2011	Apr 8, 2011	0	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	U.S. BANCORP INVESTMENTS, INC.	Jan 2, 2008	Jan 9, 2008	7	Firm change	Other
BANC ONE SECURITIES CORPORATION	CHASE INVESTMENT SERVICES CORP.	Jul 6, 2005	Jul 6, 2005	0	Bulk transfer	Other

Relationships

Registered with (5)

→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: current employment
Aug 21, 2014 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Apr 8, 2011 to Aug 20, 2014factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 9, 2008 to Apr 8, 2011factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 6, 2005 to Jan 2, 2008factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jun 16, 2005 to Jul 6, 2005factForm ADV

Dated events

No dated event names this entity yet.