Full text of U.S. BANCORP INVESTMENTS, INC.'s X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  # **Statement of Financial Condition** December 31, 2019 With Report of Independent Registered Public Accounting Firm. The Company's audited Statement of Financial Condition as of December 31 , 2019, pursuant to Rule 17a-5, is available for examination at the Company's office at U.S. Bancorp Investments, Inc., 60 Livingston Ave., St. Paul, MN 55107 or at the office of the Securities and Exchange Commission, Chicago, IL. **Investment and Insurance products and services including annuities are: NOT A DEPOSIT• NOT FDIC INSURED** • **MAY LOSE VALUE** • **NOT BANK GUARANTEED** • **NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY** **Investment products** and **services are available** through **U.S.** Bancorp **Investments, the** marketing name for U.S. Bancorp **Investments,** Inc., member **FINRA** and **SIPC,** an **investment adviser and a brokerage subsidiary of U.S. Bancorp and affiliate of U.S. Bank. U.S. Bancorp Investments,** Inc. **is not a tax advisor. When** it **is appropriate, you are encouraged to seek professional tax** or **legal advice.C2019 U.S. Bancorp.** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .. . ... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** | SEC FILE NUMBER | |-----------------| | 8- 35359 | FACING **PAGE** Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Excha nge Act of 1934 a nd Rule 17a-5 Thereunder | REPORT FOR THE PERJOD BEGINNlNG | ____<br>0_1_/0_1/2_0_19 | ___<br>AND ENDING | ___<br>____<br>12/3 _ 1/2 _ 0_19<br>_ | |------------------------------------------------------------------------------|--------------------------------------------------------|-------------------|--------------------------------------------------| | | MM/0D/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | U.S. Ba<br>N AME OF BROKER-DEALER: | ncor p Investments, I<br>nc. | | OFFICIAL USE ONLY<br>17868 | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 60 Livingston Avenue | | | | | | (No. and S1ree1) | | | | SaintPauJ | Mjnnesota | | 55107 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHO;'JE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Jessica McIntosh | | | (314) 418-…Read the full text as markdown