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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

DANA RENEE OTOOLE

Advisor at FIFTH THIRD SECURITIES, INC.

Friendswood, TX | Humble, TX | Houston, TX

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Search this name across graphsid dfx:ria:eb6ff45e-c7fe-9d05-6ba7-62e3b7100614

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jul 25, 2008 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: Jul 27, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jul 27, 2006
First registration: Jul 25, 2008
Dual registered: yes, broker-dealer
Other names: DANA FINNELL|Dana Renee Thompson|DANA RENEE SMITH|DANA RENEE O'TOOLE
IAPD individual key: 2463769

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 13, 2026	n/a	yes	Humble, TX\|Houston, TX\|Humble, TX\|Friendswood, TX	Current employment
FROST INVESTMENT SERVICES	Bd affiliated wealth	Jan 25, 2024	Aug 7, 2026	no	SAN ANTONIO, TX\|KINGWOOD, TX	Previous registration
EDWARD JONES	National bd RIA	Apr 30, 2021	Jan 23, 2024	no	KINGWOOD, TX\|KINGWOOD, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Apr 29, 2021	no	PASADENA, TX\|KINGWOOD, TX\|NEW CANEY, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 23, 2012	Oct 1, 2012	no	PASADENA, TX	Previous registration
EDWARD JONES	National bd RIA	Jul 25, 2008	Jul 12, 2012	no	PORTER, TX\|ST LOUIS, MO\|NEW CANEY, TX\|KINGWOOD, TX	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
FROST INVESTMENT SERVICES	FIFTH THIRD SECURITIES, INC.	Aug 7, 2026	Aug 13, 2026	6	Firm change	Ibd to ibd
EDWARD JONES	FROST INVESTMENT SERVICES	Jan 23, 2024	Jan 25, 2024	2	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	EDWARD JONES	Apr 29, 2021	Apr 30, 2021	1	Firm change	Wirehouse to ibd
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
EDWARD JONES	CHASE INVESTMENT SERVICES CORP.	Jul 12, 2012	Jul 23, 2012	11	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
286129:628:TX:2026-08-07	Aug 7, 2026	Aug 13, 2026	KINGWOOD, TX	Firm change

Relationships

Registered with (5)

→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: current employment
Aug 13, 2026 to presentfactForm ADV
→ FROST INVESTMENT SERVICESRegistered adviserregistration: previous registration
Jan 25, 2024 to Aug 7, 2026factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Apr 30, 2021 to Jan 23, 2024factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Apr 29, 2021factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 23, 2012 to Oct 1, 2012factForm ADV

Dated events

Occurred
Aug 7, 2026
Advisor changed firm
Dana Renee Otoole left Frost Investment Services for Fifth Third Securities, Inc. (registered 2026-08-13)
Form ADVobserved 4 days ago
Occurred
Jan 23, 2024
Advisor changed firm
Dana Renee Otoole left Edward Jones for Frost Investment Services (registered 2024-01-25)
Form ADVobserved 4 days ago