U.S. BANCORP INVESTMENTS, INC. of SAINT PAUL, MN is an SEC-registered investment adviser (CRD 17868). Regulatory assets under management: $22.9B. This firm reports disciplinary history on Form ADV.
Compensation: Other.
Clients served: Other.
Showing 25 of 55 people.
| Name | Role | Location |
|---|---|---|
| Shannon Keith Clark | CHIEF FINANCIAL OFFICER AND DIRECTOR; DIRECTOR AND CHIEF FINANCIAL OFFICER | — |
| Kimberly Nicole Ferguson | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| Eileen Bejasa | CHIEF OPERATIONS OFFICER AND DIRECTOR; DIRECTOR | — |
| Kyle Norman Salstrom | CHIEF COMPLIANCE OFFICER AND DIRECTOR; CHIEF COMPLIANCE OFFICER, DIRECTOR | — |
| Jodi Thompson Rolland | DIRECTOR | — |
| Stephen Ward Steiner | CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR; CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | — |
| Matthew Ryan Mccarthy | CHIEF LEGAL OFFICER | — |
| James Whang | DIRECTOR | — |
| Beth D Lawlor | DIRECTOR | — |
| Joel Ira Floum | DIRECTOR | — |
| Masood Ahmad | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | — |
| John William Jr. Molloy | DIRECTOR | — |
| Stephen Kyle Stegemeyer | DIRECTOR | — |
| Michael Francis Poell | SENIOR VICE PRESIDENT, COMPLIANCE MANAGER AND DIRECTOR | — |
| Jeffrey Adam Walter | CHIEF COMPLIANCE OFFICER, DIRECTOR | — |
| BLACK JOHN DAVID | DIRECTOR | — |
| CAMERANESI KENNETH STEVEN | CHIEF EXECUTIVE OFFICER, DIRECTOR; CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT | — |
| WIMBISH KAREN HUTCHESON | DIRECTOR | — |
| BJORK JOHN CARL | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, DIRECTOR; CHIEF COMPLIANCE OFFICER-INVESTMENT ADVISORY (+2 more) | — |
| MCCORMACK DANIEL JOSEPH | DIRECTOR, SENIOR VICE PRESIDENT AND REGIONAL SALES MANAGER; DIVISIONAL MANAGER, SENIOR VICE PRESIDENT AND DIRECTOR; INTERIM CHIEF EXECUTIVE OFFICER (+2 more) | — |
| VAN HORN GAIL MARIE | CHIEF LEGAL OFFICER; SECRETARY | — |
| ODEGAARD KATHLEEN RENEE | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT, DIRECTOR; DIRECTOR, SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT, DIRECTOR | — |
| BENJAMIN WILLIAM JOHN III | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, DIRECTOR; DIRECTOR | — |
| BUCKLEY TRUDI MARIE | CHIEF FINANCIAL OFFICER, FINOP, DIRECTOR; INTERIM CHIEF FINANCIAL OFFICER, FINOP; INTERIM CHIEF FINANCIAL OFFICER, FINOP, DIRECTOR | — |
| O'LEARY ANGELA ALCORN | DIRECTOR; SENIOR VICE PRESIDENT, DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-05-16 | regulatory | WHEN DETERMINING WHETHER TO FILE SUSPICIOUS ACTIVITY REPORTS (SARS), 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 A RESULT, DID NOT TIMELY FI… | Final | $500K |
| 2024-02-09 | regulatory | ON FEBRUARY 9, 2024, THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ISSUED A SETTLED ADMINISTRATIVE ORDER FINDING THAT U.S. BANCORP INVESTMENTS, INC. ("USBI") VIOLATED SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-4(B)(4) THEREUNDER, WHICH REQUIRE BROKER-DEALERS… | Final | $8.0M |
| 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 |
| 2018-02-15 | regulatory | U.S. BANCORP ("USB") LACKED ADEQUATE RISK MANAGEMENT AND COMPLIANCE POLICIES AND PROCEDURES TO ENSURE THAT ACTIVITIES CONDUCTED AT U.S. BANK NATIONAL ASSOCIATION ("U.S. BANK") AND USB AMERICAS HOLDINGS COMPANY (THE "AGREEMENT CORPORATION") COMPLIED WITH APPLICABLE BANK SECRECY ACT AND ANTI-MONEY LAU… | Final | $15.0M |
| 2016-04-20 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONTEND SALES CHARGE BUT WERE INSTEAD SOLD CLASS B OR C… | Final | — |
| 2016-02-19 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT FOR ALMOST FIVE YEARS, IT FAILED TO IDENTIFY AND APPLY SALES CHARGE DISCOUNTS TO CERTAIN CUSTOMERS' ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUSTS ("UITS"). THE FINDINGS STATED THAT SPECIFI… | Final | $150K |
| — | regulatory | — | — | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| MINNEAPOLIS | MN | 13 | (612) 659-2000 |
| CINCINNATI | OH | 13 | (513) 277-5655 |
| GRESHAM | OR | 12 | 503-401-5544 |
| TEMPE | AZ | 10 | (480) 791-0209 |
| MILWAUKEE | WI | 8 | (414) 765-4035 |
| SEATTLE | WA | 7 | (206) 340-8046 |
| SIOUX CITY | IA | 6 | (712) 274-2992 |
| STILLWATER | MN | 5 | (651) 705-1310 |
| DENVER | CO | 5 | (303) 713-6400 |
| HOPKINS | MN | 5 | 952-208-3224 |
| OMAHA | NE | 5 | (402) 963-2123 |
| CHICAGO | IL | 5 | 773-775-8000 |
| CREVE COEUR | MO | 4 | (314) 432-1901 |
| HILLSBORO | OR | 4 | (503) 690-0123 |
| VANCOUVER | WA | 4 | (360) 695-1311 |