Full text of U.S. BANCORP INVESTMENTS, INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  # **Statement of Financial Condition** **December 31 , 2020** With Report of Independent Registered Public Accounting Firm. The Company's audited Statement of Financial Condition as of December 31, 2020, 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 and insurance 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. Insurance products are available through various affiliated non-bank insurance agencies, which are U.S. Bancorp subsidiaries. Products may not be available in all states. CA Insurance License# 0E24641. ©2020 U.S. Bancorp. {1}------------------------------------------------ **UNITED STA TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL AUDITED REPORT | | |-----------------------|--| | FORM X-17A-5 | | | PARTIII | | | 0MB APPROVAL | | | |--------------------------|--|----------------------------| | 0MB Number: | | 3235-0123 | | Expires: | | October 31, 2023 | | Estimated average burden | | | | | | hours per response 12.00 | # SEC FILE NUMBER **8- 35359** #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | ------------<br>0110112020 | AND ENDING | ------------<br>12/3 1/2020 | |------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | . NAME OF BROKER-DEALER: U.S. Bancorp Investments, Inc. | | | OFFICIAL USE ONLY<br>17868 | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.…Read the full text as markdown