U.S. BANCORP ADVISORS, LLC of SAINT PAUL, MN is an SEC-registered investment adviser (CRD 14455). Regulatory assets under management: $1.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
Showing 25 of 46 people.
| Name | Role | Location |
|---|---|---|
| Allen Matthew James | RETAIL SALES MANAGER; VP/REGIONAL INVESTMENT MANAGER | Nashville, TN |
| Daniel Cesar Caneva | PRESIDENT/CEO & CHIEF OPERATIONS OFFICER; SVP CHIEF OPERATIONS OFFICER | — |
| Shane T Triplett | INSTITUTIONAL SALES MANAGER; MANAGER | — |
| Shannon Keith Clark | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND MANAGER | — |
| James Eugene Jr. Ely | SENIOR VICE PRESIDENT - SALES | — |
| Beth Dedrick Lawlor | EXECUTIVE VICE PRESIDENT | — |
| Kimberly Nicole Ferguson | CHIEF EXECUTIVE OFFICER AND MANAGER; CHIEF EXECUTIVE OFFICER AND PRESIDENT; MANAGER | — |
| Eileen Bejasa | MANAGER; SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | — |
| Kyle Norman Salstrom | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND MANAGER | — |
| Jodi Thompson Rolland | MANAGER; PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | — |
| Stephen Ward Steiner | CHIEF OPERATIONS OFFICER AND MANAGER | — |
| Matthew Ryan Mccarthy | CHIEF LEGAL OFFICER | — |
| Joel Ira Floum | MANAGER | — |
| Milan Konkol | CHIEF COMPLIANCE OFFICER | — |
| KATZ DAVID HOWARD | INSTITUTIONAL SALES MANAGER | — |
| MORTENSEN MICHAEL SCOTT | PRESIDENT & CEO | — |
| MOORADIAN DENNIS JACK | CHAIRMAN; PRESIDENT, CEO & CHAIR | — |
| WRIGHT RICHARD ALAN | VICE PRESIDENT/SECRETARY | — |
| CANEVA DANIEL CESAR | CHIEF FINANCIAL OFFICER; DIVISION OPERATIONS MGR; DIVISION RISK MANAGER (+3 more) | — |
| VIVELL HONORIA FREEMAN | DIRECTOR | — |
| WESTERBEEK PEITER III | DIRECTOR | — |
| LEPORE KENNETH | PRESIDENT; PRESIDENT/CEO | — |
| ERICKSON JOHN CASS | DIRECTOR | — |
| CHAMBLESS TERRY | DIRECTOR/SVP - SALES MANAGEMENT | — |
| FIELDS JOAN ELLEN | VP/REGIONAL INVESTMENT MANAGER | — |
Showing 10 of 14 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-05-16 | regulatory | WHEN DETERMINING WHETHER TO FILE SUSPICIOUS ACTIVITY REPORTS (SARS), U.S. BANCORP INVESTMENTS (USBI), THROUGH ITS PARENT COMPANY'S ENTERPRISE-WIDE SAR FILING UNIT, INCORRECTLY USED A $25,000 MONETARY THRESHOLD APPLICABLE TO BANKS RATHER THAN THE $5,000 THRESHOLD APPLICABLE TO BROKER-DEALERS AND, AS… | Final | $500K |
| 2024-02-09 | regulatory | ON FEBRUARY 9, 2024, THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ISSUED A SETTLED ADMINISTRATIVE ORDER FINDINGTHAT U.S. BANCORP INVESTMENTS, INC. ("USBI") VIOLATED SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGEACT") AND RULE 17A-4(B)(4) THEREUNDER, WHICH REQUIRE BROKER-DEALERS TO… | Final | $8.0M |
| 2023-07-05 | regulatory | THE CALIFORNIA DEPARTMENT OF INSURANCE ("CDI") ISSUED A RESTRICTED LICENSE TO UBIS ON JULY 5, 2023, TO SELL INSURANCE IN THE STATE OF CALIFORNIA. THE RESTRICTION WAS IMPOSED PURSUANT TO CALIFORNIA INSURANCE CODE ("CIC") SECTION 1742 IN LIEU OF DENIAL OF UBIS'S APPLICATION. THE CDI TOOK THIS ACTION A… | Final | $5K |
| 2023-06-06 | regulatory | FINRA ALLEGES THAT FROM 2/2020 THROUGH 5/2021, UNIONBANC INVESTMENT SERVICES (UBIS) VIOLATED FINRA RULE 2010 AND FINRA IM-13000 BY FAILING TO COMPLY WITH ITS DISCOVERY OBLIGATIONS PRIOR TO THE HEARING ON THE MERITS DURING AN ARBITRATION FILED AGAINST UBIS IN FINRA'S DISPUTE RESOLUTION FORUM FOR CLAI… | Final | $75K |
| 2023-05-10 | regulatory | MUFG UNION BANK, NATIONAL ASSOCIATION (WHICH MERGED INTO U.S. BANK, NATIONAL ASSOCIATION ON MAY 26, 2023) SELF-IDENTIFIED VIOLATIONS OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT WITH RESPECT TO THE MARKETING AND FULFILLMENT OF CERTAIN RETAIL PRODUCTS AND SERVICES. | Final | $15.0M |
| 2021-09-20 | regulatory | ON SEPTEMBER 20, 2021, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC) ISSUED A CONSENT ORDER AGAINST AFFILIATE MUFG UNION BANK, N.A., PURSUANT TO 12 U.S.C. § SECTION 1818(B), THROUGH THE ISSUANCE OF A NOTICE OF CHARGES, FOR ENGAGING IN UNSAFE OR UNSOUND PRACTICES AND ITS NONCOMPLIANCE WITH 12 C… | Final | — |
| 2021-05-05 | regulatory | FINRA ALLEGES THAT FROM 1/2016 THROUGH 12/2018, UNIONBANC INVESTMENT SERVICES (UBIS) FAILED TO ESTABLISH AND MAINTAIN A REASONABLY DESIGNED SUPERVISORY SYSTEM & WSPS TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS WITH RESPECT TO CERTAIN TYPES OF VARIABLE ANNUITY (VA) TRANSACTI… | Final | $100K |
| 2020-06-01 | regulatory | SEC ALLEGED THE FOLLOWING VIOLATIONS: INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") SECTIONS 206(2) AND 206(4), AND RULE 206(4)-7 USBI DID NOT: *SEEK BEST EXECUTION FOR CLIENT MUTUAL FUND TRANSACTIONS BY RECOMMENDING SHARE CLASSES THAT CHARGED 12B-1 AND SHAREHOLDER SERVICING FEES WHEN A SHARE CLA… | Final | $18.4M |
| 2019-07-29 | regulatory | ON JULY 29, 2019, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC) ISSUED A CONSENT ORDER AGAINST AFFILIATE MUFG UNION BANK, N.A., PURSUANT TO SECTION 102(F) OF THE FLOOD DISASTER PROTECTION ACT, AS AMENDED, (42 U.S.C. ? 4012A(F)) FOR A PATTERN OR PRACTICE OF VIOLATIONS OF THE FLOOD ACT AND ITS I… | Final | $110K |
| 2018-02-15 | criminal | AS DESCRIBED IN THE DPA, FROM 2009 TO 2014, USB WILLFULLY FAILED TO ESTABLISH, IMPLEMENT, AND MAINTAIN AN ADEQUATE ANTI-MONEY LAUNDERING PROGRAM AND INTENTIONALLY IMPLEMENTED AND MAINTAINED BANK SECRECY ACT AND ANTI-MONEY LAUNDERING ("BSA/AML") SYSTEMS AND POLICIES THAT RESULTED IN USB FAILING TO ID… | Final | — |