U.S. Bancorp Advisors, Llc
SEC-registered
Insurance-Affiliated · Mid-sized ($1B–$10B)
CRD 14455
· SEC file 801-70084
· Saint Paul, MN
· www.usbank.com
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ADV data as of Jul 31, 2026
- Regulatory AUM
- $1.8B
- Discretionary
- $1.7B
- Clients
- 3,343
- Avg AUM / client
- $537K
- Accounts
- 3,992
- Employees
- 379
AUM over time
$299M
$1.9B
Feb 2, 2012
Jul 31, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2,809 | $1.1B | 62.2% |
| High net worth individuals | 436 | $567M | 31.6% |
| Pension and profit sharing plans | 25 | $25.5M | 1.42% |
| Charitable organizations | Fewer than 5 | $2.1M | 0.11% |
| Corporations and other businesses | 73 | $83.7M | 4.66% |
People (1,154)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Konkol, Milan | Chief Compliance Officer | Mar 2000 (26y) | Less than 5% | |
| Daniel Cesar Caneva | President/Ceo & Chief Operations Officer | Aug 2008 (18y) | Less than 5% | |
| Triplett, Shane T | Institutional Sales Manager | Nov 2013 (13y) | Less than 5% | |
| Clark, Shannon Keith | Chief Financial Officer | May 2023 (3y) | Less than 5% | |
| James Eugene Ely | Senior Vice President Sales | Jul 2023 (3y) | Less than 5% | |
| Beth Dedrick Lawlor | Executive Vice President | Jan 2024 (3y) | Less than 5% | |
| Gilbert Chavez Melgoza | Registered representative | Nov 2000 (26y) | ||
| Roberto Salazar | Registered representative | Nov 2000 (26y) | ||
| Brandon Scott Kelly | Registered representative | CFP | Mar 2002 (24y) | |
| Brandon Stuart Linster | Registered representative | Sep 2002 (24y) | ||
| Wendy L Wong | Registered representative | Aug 2003 (23y) | ||
| Joice Victoria Lee | Registered representative | Oct 2003 (23y) | ||
| Andrew Tung Tran | Registered representative | Jan 2005 (22y) | ||
| Yekaterina Tervinsky | Registered representative | Jan 2007 (20y) | ||
| Marvin Kang | Registered representative | May 2007 (19y) | ||
| Jennifer Ho Chung Jung | Registered representative | May 2007 (19y) | ||
| Edward Eugene Herrera | Registered representative | Sep 2007 (19y) | ||
| Roger Romero Szendrey | Registered representative | Apr 2008 (18y) | ||
| Patricia Marie Schlee | Registered representative | May 2008 (18y) | ||
| Juan Gabriel Villavicencio | Registered representative | Jul 2008 (18y) | ||
| Steven Craig Baumhoff | Registered representative | Jul 2008 (18y) | ||
| Damian Siegfried Mossbarger | Registered representative | Nov 2008 (18y) | ||
| Michael Steven Padilla | Registered representative | May 2009 (17y) | ||
| Darlene Flores Swatik | Registered representative | CFP Chartered Financial Consultant | Aug 2009 (17y) | |
| Sharon Donna Azgour | Registered representative | Aug 2009 (17y) | ||
| Serpouhi Susan Karamanoukian | Registered representative | Oct 2009 (17y) | ||
| William Richard Nolan | Registered representative | Jan 2010 (17y) | ||
| Claudia Mata | Registered representative | Apr 2010 (16y) | ||
| Ronald Lawrence Rigsby | Registered representative | May 2010 (16y) | ||
| Evan Fredrick Seibly | Registered representative | CFP | Jun 2010 (16y) | |
| Victor Hugo Hernandez | Registered representative | Jul 2010 (16y) | ||
| Jose De La Torre Ojeda | Registered representative | Jul 2010 (16y) | ||
| Rina Ester Saldana | Registered representative | Oct 2011 (15y) | ||
| Kelly Marie Lind | Registered representative | Jan 2012 (15y) | ||
| Brooke Kristen Bordner | Registered representative | Jan 2012 (15y) | ||
| Lara Jane Deutchman | Registered representative | May 2012 (14y) | ||
| Eugene Min Lee | Registered representative | May 2012 (14y) | ||
| Hajime James Sakiyama | Registered representative | Jul 2012 (14y) | ||
| Seana Chung | Registered representative | Sep 2012 (14y) | ||
| Daniel Rayhim Babai | Registered representative | Aug 2013 (13y) | ||
| Boo Young Song | Registered representative | Oct 2013 (13y) | ||
| Robert Grant Forys | Registered representative | Oct 2013 (13y) | ||
| Eric Paul Abbe | Registered representative | Jul 2014 (12y) | ||
| David Inhyuk Lee | Registered representative | Nov 2014 (12y) | ||
| Parviz Tahsini | Registered representative | Mar 2015 (11y) | ||
| Brandon Lee Jenkins | Registered representative | May 2015 (11y) | ||
| Midori Nakano | Registered representative | Jul 2015 (11y) | ||
| Michael Ken Hawkes | Registered representative | Jan 2016 (11y) | ||
| Stanley Mako Takikawa | Registered representative | Mar 2016 (10y) | ||
| Ahren Jin Shirai | Registered representative | CFP | Apr 2016 (10y) | |
| Michele Stefanie Lott | Registered representative | CFP | Apr 2016 (10y) | |
| Francisco E Lopez | Registered representative | May 2016 (10y) | ||
| Ryan K Yasukawa | Registered representative | May 2016 (10y) | ||
| Robert Mark Joseph | Registered representative | May 2016 (10y) | ||
| John Marshall Frantz | Registered representative | Jun 2016 (10y) | ||
| Matthew David Bowen | Registered representative | Dec 2016 (10y) | ||
| Eugene Lee | Registered representative | Jan 2017 (10y) | ||
| Michael Chan | Registered representative | Mar 2017 (9y) | ||
| Kevin Chang Kyun Pak | Registered representative | Apr 2017 (9y) | ||
| Charles Romano | Registered representative | Jul 2017 (9y) | ||
| Harold Kuk Rhee | Registered representative | Jul 2017 (9y) | ||
| Hector Alberto Penalosa | Registered representative | Jan 2018 (9y) | ||
| Nina Cloe Castellanes | Registered representative | Feb 2018 (8y) | ||
| Michael Anthony Le Bourveau Sywyk | Registered representative | Apr 2018 (8y) | ||
| Angel Juan Estrada | Registered representative | May 2018 (8y) | ||
| Jennifer Joyce Viloria Serrano | Registered representative | Jun 2018 (8y) | ||
| James Nagno Fujita | Registered representative | Nov 2018 (8y) | ||
| Erik Kenichi Kimoto | Registered representative | Oct 2019 (7y) | ||
| Alexandros P Terzis | Registered representative | CFP | Feb 2020 (6y) | |
| Robert Michael Dolman | Registered representative | Jun 2020 (6y) | ||
| Anthony Alberico | Registered representative | CFP | Aug 2020 (6y) | |
| Fadi F Jahshan | Registered representative | Feb 2021 (5y) | ||
| Kai Salocks | Registered representative | Apr 2021 (5y) | ||
| Joel A Barbee | Registered representative | Sep 2021 (5y) | ||
| Victor Jose Salinas | Registered representative | Oct 2021 (5y) | ||
| Michael Patrick Menke | Registered representative | Dec 2021 (5y) | ||
| Laurel Christine Clark | Registered representative | Dec 2021 (5y) | ||
| Ju Hyi Park | Registered representative | Jun 2022 (4y) | ||
| Kozue Igarashi | Registered representative | Jan 2023 (4y) | ||
| Dale C Spahr | Registered representative | Jan 2023 (4y) | ||
| Rene Manuel Ramos | Registered representative | Jun 2023 (3y) | ||
| Kathleen Amanda Peters | Registered representative | CFP | Aug 2023 (3y) | |
| Harold Don Smith | Registered representative | Aug 2023 (3y) | ||
| Bruce Michael Stava | Registered representative | Oct 2023 (3y) | ||
| Lawrence Lam | Registered representative | Nov 2023 (3y) | ||
| Melissa Rivas | Registered representative | CFP | Dec 2023 (3y) | |
| Dylan Toros Yerelekian | Registered representative | Jan 2024 (3y) | ||
| Robert Cristian Pavel | Registered representative | Jan 2024 (3y) | ||
| Patricia Adair Kerman | Registered representative | Mar 2024 (2y) | ||
| Brandon James Remer | Registered representative | Mar 2024 (2y) | ||
| James Wayne Carey | Registered representative | Mar 2024 (2y) | ||
| Maria Rose Ratto | Registered representative | May 2024 (2y) | ||
| Marilu Hernandez | Registered representative | Aug 2024 (2y) | ||
| Evelyn Kaye White | Registered representative | Aug 2024 (2y) | ||
| Stephen Yuan Liang Kuo | Registered representative | Jan 2025 (2y) | ||
| Steven Krikul | Registered representative | Feb 2025 (1y) | ||
| Jacob August Kujala | Registered representative | Feb 2025 (1y) | ||
| Teresa Lynn Hall | Registered representative | Feb 2025 (1y) | ||
| Treva Likens Walker | Registered representative | Feb 2025 (1y) | ||
| Garrett Rod Gruendyke | Registered representative | Mar 2025 (1y) | ||
| Bryan William Nolan | Registered representative | Mar 2025 (1y) | ||
| Eduardo A Aguayo | Registered representative | Apr 2025 (1y) | ||
| Yuji Chao | Registered representative | Apr 2025 (1y) | ||
| Thaddeus Adonis Howell | Registered representative | Apr 2025 (1y) | ||
| Christina Eloise Clark | Registered representative | May 2025 (1y) | ||
| Randy Aaron Boelk | Registered representative | May 2025 (1y) | ||
| Brandon Thomas Mueller | Registered representative | May 2025 (1y) | ||
| Wael S Zorob | Registered representative | May 2025 (1y) | ||
| Burnis Joseph Chitwood | Registered representative | May 2025 (1y) | ||
| Ahmad Anwary | Registered representative | May 2025 (1y) | ||
| Luu Elizabeth Mathias | Registered representative | May 2025 (1y) | ||
| Valery Jenisen Hernandez | Registered representative | Jun 2025 (1y) | ||
| Bernadette Elizabeth Mc Cartan | Registered representative | Jun 2025 (1y) | ||
| Melis Smith | Registered representative | Jun 2025 (1y) | ||
| Kristen Kerr Letcher Mc Leod | Registered representative | Jun 2025 (1y) | ||
| Melinda Rae Tudor | Registered representative | Jul 2025 (1y) | ||
| Jonghak Choi | Registered representative | Jul 2025 (1y) | ||
| Timothy Mahan | Registered representative | Jul 2025 (1y) | ||
| Ashley Jo Pomeroy | Registered representative | Aug 2025 (1y) | ||
| Christopher Michael Frost | Registered representative | Sep 2025 (1y) | ||
| Cynthia Ann Gutz | Registered representative | Sep 2025 (1y) | ||
| Jennifer Dawn Corbin | Registered representative | Sep 2025 (1y) | ||
| Damian Blake Hayes | Registered representative | Sep 2025 (1y) | ||
| Aimee Leigh Mitchell | Registered representative | Sep 2025 (1y) | ||
| Eric Michael Tobias | Registered representative | Sep 2025 (1y) | ||
| Leanna Ruth Naffziger | Registered representative | Sep 2025 (1y) | ||
| Theodore Roger Herrick | Registered representative | Sep 2025 (1y) | ||
| Christopher Martin Cognetta | Registered representative | Sep 2025 (1y) | ||
| Jodi Thompson Rolland | Registered representative | Sep 2025 (1y) | ||
| Scott Allen La Buhn | Registered representative | Sep 2025 (1y) | ||
| Erin Nicole Dauwalter | Registered representative | Sep 2025 (1y) | ||
| Joni Lynn Steenhoek | Registered representative | Sep 2025 (1y) | ||
| Walter Columbus Park | Registered representative | Sep 2025 (1y) | ||
| Brittany Marie Harman | Registered representative | Sep 2025 (1y) | ||
| Cynthia Ann Maher | Registered representative | Sep 2025 (1y) | ||
| Eric Steven Webster | Registered representative | Sep 2025 (1y) | ||
| Jennifer Lee Harman | Registered representative | Sep 2025 (1y) | ||
| Kristi Vos Koshire | Registered representative | Sep 2025 (1y) | ||
| Lashon Nicole Mathis | Registered representative | Sep 2025 (1y) | ||
| Matt William Mc Carthy | Registered representative | Sep 2025 (1y) | ||
| Nita Chittchang | Registered representative | Sep 2025 (1y) | ||
| Regina Taylor | Registered representative | Sep 2025 (1y) | ||
| Roman Nestor Catli | Registered representative | Sep 2025 (1y) | ||
| Thomas Francis Parker | Registered representative | Sep 2025 (1y) | ||
| David Thomas Hulla | Registered representative | Sep 2025 (1y) | ||
| James Stuart Linderer | Registered representative | Sep 2025 (1y) | ||
| Jordan Elliot Rankin | Registered representative | Sep 2025 (1y) | ||
| Ryan Patrick Fargen | Registered representative | Sep 2025 (1y) | ||
| True Yang | Registered representative | Sep 2025 (1y) | ||
| Juan Manuel Vasquez | Registered representative | Oct 2025 (1y) | ||
| Shalee Michelle Shields | Registered representative | Oct 2025 (1y) | ||
| Timothy Brian Mc Kenney | Registered representative | Oct 2025 (1y) | ||
| Matthew Robert Faudoa | Registered representative | Oct 2025 (1y) | ||
| Douglas Wesley Heward | Registered representative | Oct 2025 (1y) | ||
| Matthew Joachim Dufresne | Registered representative | Oct 2025 (1y) | ||
| Michael Joshua Dahms | Registered representative | Nov 2025 (1y) | ||
| Jessica Ann Zifer | Registered representative | Nov 2025 (1y) | ||
| Milton Adrian Delabra | Registered representative | Nov 2025 (1y) | ||
| Katherine Marie Whelan | Registered representative | Nov 2025 (1y) | ||
| Michael Alan Fleming | Registered representative | Nov 2025 (1y) | ||
| Gregory Robert Lund | Registered representative | Dec 2025 (1y) | ||
| Anton Klemens | Registered representative | Dec 2025 (1y) | ||
| Monica La Toya Douglas | Registered representative | Dec 2025 (1y) | ||
| Terrence James Callahan | Registered representative | Dec 2025 (1y) | ||
| Amy Lynn Drake | Registered representative | Jan 2026 (1y) | ||
| Greg Scott Lewis | Registered representative | Jan 2026 (1y) | ||
| Ryan Kent Nelson | Registered representative | Jan 2026 (1y) | ||
| Michelle Denise Boyd | Registered representative | Jan 2026 (1y) | ||
| Gregory Lee Weber | Registered representative | Jan 2026 (1y) | ||
| Jacqulyn Martin Bishop | Registered representative | Jan 2026 (1y) | ||
| Joel Esteban Quirino | Registered representative | Feb 2026 (1y) | ||
| Aaron Isaac Hunter | Registered representative | Feb 2026 (0y) | ||
| Aaron Matthew Nelson | Registered representative | Feb 2026 (0y) | ||
| Aaron Matthew Reinert | Registered representative | Feb 2026 (0y) | ||
| Aaron Michael Hall | Registered representative | Feb 2026 (0y) | ||
| Aaron Michael Muzzy | Registered representative | Feb 2026 (0y) | ||
| Aaron Robert Jetton | Registered representative | Feb 2026 (0y) | ||
| Aaron Vaughn Buchholz | Registered representative | Feb 2026 (0y) | ||
| Abigayle Therese Larkin | Registered representative | Feb 2026 (0y) | ||
| Adam John Gallant | Registered representative | Feb 2026 (0y) | ||
| Adam Keith Slaughter | Registered representative | Feb 2026 (0y) | ||
| Adam Michael Franklin | Registered representative | Feb 2026 (0y) | ||
| Adam R Perez | Registered representative | Feb 2026 (0y) | ||
| Adam Reiter Negangard | Registered representative | Feb 2026 (0y) | ||
| Adam Ryan Brastad | Registered representative | Feb 2026 (0y) | ||
| Adan M Torres | Registered representative | Feb 2026 (0y) | ||
| Aileen Joy Domine Malig | Registered representative | Feb 2026 (0y) | ||
| Aimee P Grant | Registered representative | Feb 2026 (0y) | ||
| Akhil Bhalla | Registered representative | Feb 2026 (0y) | ||
| Alan David Childs | Registered representative | Feb 2026 (0y) | ||
| Alec Warren Grumet | Registered representative | Feb 2026 (0y) | ||
| Alejandro Garcia | Registered representative | Feb 2026 (0y) | ||
| Alex Imer Lopez | Registered representative | Feb 2026 (0y) | ||
| Alex Noe Sanchez | Registered representative | Feb 2026 (0y) | ||
| Alexander Cesar Aliaga Auqui | Registered representative | Feb 2026 (0y) | ||
| Alexander Francis Leri | Registered representative | Feb 2026 (0y) | ||
| Alexander Joseph Salata | Registered representative | Feb 2026 (0y) | ||
| Alexander Michael Lynch | Registered representative | Feb 2026 (0y) | ||
| Alexander Scott Warzecha | Registered representative | Feb 2026 (0y) | ||
| Alexis Marie Cogar | Registered representative | Feb 2026 (0y) | ||
| Algernon Tu | Registered representative | Feb 2026 (0y) | ||
| Alice Huang | Registered representative | Feb 2026 (0y) | ||
| Alison Anne Coacher | Registered representative | Feb 2026 (0y) | ||
| Allen Spencer Kim | Registered representative | Feb 2026 (0y) | ||
| Allison Carla Schramm | Registered representative | Feb 2026 (0y) | ||
| Allison Jean Hoashi Temple | Registered representative | Feb 2026 (0y) | ||
| Amanda Elaine Jacobson | Registered representative | Feb 2026 (0y) | ||
| Amanda Elizabeth Polson | Registered representative | Feb 2026 (0y) | ||
| Amanda Wells Schmutte | Registered representative | Feb 2026 (0y) | ||
| Amber Nicole Whitford | Registered representative | Feb 2026 (0y) | ||
| Amit Poddar | Registered representative | Feb 2026 (0y) | ||
| Amy Noelle France | Registered representative | Feb 2026 (0y) | ||
| Ana Jelena Simicic | Registered representative | Feb 2026 (0y) | ||
| Andrea Elizabeth West | Registered representative | Feb 2026 (0y) | ||
| Andres Ambrosio Vigil Camacho | Registered representative | Feb 2026 (0y) | ||
| Andres Michael Preciado | Registered representative | Feb 2026 (0y) | ||
| Andrew Bennett Hilton | Registered representative | Feb 2026 (0y) | ||
| Andrew Harry Seward | Registered representative | Feb 2026 (0y) | ||
| Andrew James Thurlow | Registered representative | Feb 2026 (0y) | ||
| Andrew Joe Bekius | Registered representative | Feb 2026 (0y) | ||
| Andrew Jordan Gardner | Registered representative | Feb 2026 (0y) | ||
| Andrew Joseph Kaczrowski | Registered representative | Feb 2026 (0y) | ||
| Andrew Michael Blankenship | Registered representative | Feb 2026 (0y) | ||
| Andrew Philip Doeschot | Registered representative | Feb 2026 (0y) | ||
| Andrew Roy Dale | Registered representative | Feb 2026 (0y) | ||
| Andrew Todd Beasley | Registered representative | Feb 2026 (0y) | ||
| Andrew Udani Tabieros | Registered representative | Feb 2026 (0y) | ||
| Andrew William Gray | Registered representative | Feb 2026 (0y) | ||
| Andy Alexander Cortes | Registered representative | Feb 2026 (0y) | ||
| Angel Uriel Velasquez Siqueiros | Registered representative | Feb 2026 (0y) | ||
| Angela Faith Tupman | Registered representative | Feb 2026 (0y) | ||
| Angelica Maria Anderson | Registered representative | Feb 2026 (0y) | ||
| Anja Spillane | Registered representative | Feb 2026 (0y) | ||
| Ann Marie Coghill | Registered representative | Feb 2026 (0y) | ||
| Ann Page Beard | Registered representative | Feb 2026 (0y) | ||
| Anne Folkerth Conway | Registered representative | Feb 2026 (0y) | ||
| Annie Duyen An Ngoc Mai | Registered representative | Feb 2026 (0y) | ||
| Anthony Charles Haider | Registered representative | Feb 2026 (0y) | ||
| Anthony Michael Platano | Registered representative | Feb 2026 (0y) | ||
| Anthony Paul Folino | Registered representative | Feb 2026 (0y) | ||
| Antonio Rafael Rosado | Registered representative | Feb 2026 (0y) | ||
| Anu Bedi Chopra Lanagan | Registered representative | Feb 2026 (0y) | ||
| Arleen Grace Santos Vatuvei | Registered representative | Feb 2026 (0y) | ||
| Ashley Jean Hicks | Registered representative | Feb 2026 (0y) | ||
| Ashley Marie Krueger Rook | Registered representative | Feb 2026 (0y) | ||
| Austin Jerome Metzger | Registered representative | Feb 2026 (0y) | ||
| Austin Ryan Mc Kenzie | Registered representative | Feb 2026 (0y) | ||
| Austin Stewart Lay | Registered representative | Feb 2026 (0y) | ||
| Bac Phuong Hoang Walker | Registered representative | Feb 2026 (0y) | ||
| Bailey Helen Dorrington | Registered representative | Feb 2026 (0y) | ||
| Barbara Ann Barnhart | Registered representative | Feb 2026 (0y) | ||
| Barbara Ann Kimball | Registered representative | Feb 2026 (0y) | ||
| Baron Douglas Lee | Registered representative | Feb 2026 (0y) | ||
| Barry Asher Wellins | Registered representative | Feb 2026 (0y) | ||
| Beau Alden Wilson | Registered representative | Feb 2026 (0y) | ||
| Beau Jon Urban | Registered representative | Feb 2026 (0y) | ||
| Benjamin Glenn Disbrow | Registered representative | Feb 2026 (0y) | ||
| Benjamin James Bird | Registered representative | Feb 2026 (0y) | ||
| Benjamin Jon Fortune | Registered representative | Feb 2026 (0y) | ||
| Benjamin Scott Lachecki | Registered representative | Feb 2026 (0y) | ||
| Beverly Ann Tandy | Registered representative | Feb 2026 (0y) | ||
| Blair Stuart Schmidt | Registered representative | Feb 2026 (0y) | ||
| Blaise Thomas Wethern | Registered representative | Feb 2026 (0y) | ||
| Blake Elliott Mc Coy | Registered representative | Feb 2026 (0y) | ||
| Blake Gregory Barnes | Registered representative | Feb 2026 (0y) | ||
| Blake Marcus Allen | Registered representative | Feb 2026 (0y) | ||
| Bola Hanna | Registered representative | Feb 2026 (0y) | ||
| Brad Richard Parker | Registered representative | CFP | Feb 2026 (0y) | |
| Brad William Bardy | Registered representative | Feb 2026 (0y) | ||
| Bradley John Kudick | Registered representative | Feb 2026 (0y) | ||
| Bradley Steven Stark | Registered representative | Feb 2026 (0y) | ||
| Brady Alan Jacobsen | Registered representative | Feb 2026 (0y) | ||
| Brandon Lynn Kassick | Registered representative | Feb 2026 (0y) | ||
| Brandon Marcus Daniels | Registered representative | Feb 2026 (0y) | ||
| Breeanna Catherine Wolford | Registered representative | Feb 2026 (0y) | ||
| Brennan Everett Scheel | Registered representative | Feb 2026 (0y) | ||
| Brent Carl Frisbee | Registered representative | Feb 2026 (0y) | ||
| Brent Charles Chmielewski | Registered representative | Feb 2026 (0y) | ||
| Brett Andrew Muhlke | Registered representative | Feb 2026 (0y) | ||
| Brian Alfredo Salguero | Registered representative | Feb 2026 (0y) | ||
| Brian Hernandez | Registered representative | Feb 2026 (0y) | ||
| Brian James Kenyon | Registered representative | Feb 2026 (0y) | ||
| Brian Joseph Deker | Registered representative | Feb 2026 (0y) | ||
| Brian Joseph Scherman | Registered representative | Feb 2026 (0y) | ||
| Brian Ray Pond | Registered representative | Feb 2026 (0y) | ||
| Brian Richard Nodolf | Registered representative | Feb 2026 (0y) | ||
| Brian Robert Doan | Registered representative | Feb 2026 (0y) | ||
| Brian Thomas Blair | Registered representative | Feb 2026 (0y) | ||
| Brian William Scheel | Registered representative | Feb 2026 (0y) | ||
| Bryna Jean Panger | Registered representative | Feb 2026 (0y) | ||
| Bryon Robert Joseph Pyles | Registered representative | Feb 2026 (0y) | ||
| Bryson Charles Covert | Registered representative | Feb 2026 (0y) | ||
| Caleb Leif Spore | Registered representative | Feb 2026 (0y) | ||
| Callender F Dominguez | Registered representative | Feb 2026 (0y) | ||
| Cameron Harrison Arm | Registered representative | Feb 2026 (0y) | ||
| Cameron Justin Wolf | Registered representative | Feb 2026 (0y) | ||
| Carissa Ann Peters | Registered representative | Feb 2026 (0y) | ||
| Carlana Gillespie Brown | Registered representative | Feb 2026 (0y) | ||
| Carlos Alonso Arias | Registered representative | Feb 2026 (0y) | ||
| Carmencita Protacio Calaway | Registered representative | Feb 2026 (0y) | ||
| Carmine Rae La Fleur | Registered representative | Feb 2026 (0y) | ||
| Carolyn Desiree Jackson | Registered representative | Feb 2026 (0y) | ||
| Carrie Delynn Grisso | Registered representative | Feb 2026 (0y) | ||
| Casey William Shaw | Registered representative | Feb 2026 (0y) | ||
| Catherine Lynn Puent | Registered representative | Feb 2026 (0y) | ||
| Chad Michael Mietz | Registered representative | Feb 2026 (0y) | ||
| Chad Patrick Sann | Registered representative | Feb 2026 (0y) | ||
| Chad William Davey | Registered representative | Feb 2026 (0y) | ||
| Charles Anthony Vickery | Registered representative | Feb 2026 (0y) | ||
| Charles Edward Maeyaert | Registered representative | Feb 2026 (0y) | ||
| Charles Eric Hill | Registered representative | Feb 2026 (0y) | ||
| Charles Patrick Smith | Registered representative | Feb 2026 (0y) | ||
| Charles Philip Staples | Registered representative | Feb 2026 (0y) | ||
| Chase Drake | Registered representative | Feb 2026 (0y) | ||
| Cheryl Lynn Bates Rhoades | Registered representative | Feb 2026 (0y) | ||
| Chintan Rameshbhai Patel | Registered representative | Feb 2026 (0y) | ||
| Chris Michael Thompson | Registered representative | Feb 2026 (0y) | ||
| Christian Ehrin Ernst | Registered representative | Feb 2026 (0y) | ||
| Christian Huy Tran | Registered representative | Feb 2026 (0y) | ||
| Christian Narcisco Mendoza | Registered representative | Feb 2026 (0y) | ||
| Christian Raul Olvera Cortes | Registered representative | Feb 2026 (0y) | ||
| Christina Marie Johnson | Registered representative | Feb 2026 (0y) | ||
| Christina Marie Levin | Registered representative | Feb 2026 (0y) | ||
| Christine Guo | Registered representative | Feb 2026 (0y) | ||
| Christopher Barnes Hibbard | Registered representative | Feb 2026 (0y) | ||
| Christopher Damien Stanton | Registered representative | Feb 2026 (0y) | ||
| Christopher Donald Small | Registered representative | Feb 2026 (0y) | ||
| Christopher Douglas Williams | Registered representative | Feb 2026 (0y) | ||
| Christopher J Vieth | Registered representative | Feb 2026 (0y) | ||
| Christopher James Randolph | Registered representative | Feb 2026 (0y) | ||
| Christopher John Lewein | Registered representative | Feb 2026 (0y) | ||
| Christopher John O'connor | Registered representative | Feb 2026 (0y) | ||
| Christopher Lee Stewart | Registered representative | Feb 2026 (0y) | ||
| Christopher Leon | Registered representative | Feb 2026 (0y) | ||
| Christopher Louis Chepy | Registered representative | Feb 2026 (0y) | ||
| Christopher Mark Herrera | Registered representative | Feb 2026 (0y) | ||
| Christopher Michael Heying | Registered representative | Feb 2026 (0y) | ||
| Christopher Michael Schleder | Registered representative | Feb 2026 (0y) | ||
| Christopher Ronald Roberts | Registered representative | Feb 2026 (0y) | ||
| Christy Isordia | Registered representative | Feb 2026 (0y) | ||
| Clayton Wayne Reed | Registered representative | Feb 2026 (0y) | ||
| Clement Jaeho Shin | Registered representative | Feb 2026 (0y) | ||
| Clifford Louis Carpenter | Registered representative | Feb 2026 (0y) | ||
| Clint William Crawford | Registered representative | Feb 2026 (0y) | ||
| Colby Justin Karn | Registered representative | Feb 2026 (0y) | ||
| Connie Marie Bedwell | Registered representative | Feb 2026 (0y) | ||
| Connor Joseph Farley | Registered representative | Feb 2026 (0y) | ||
| Connor Patrick Wells | Registered representative | Feb 2026 (0y) | ||
| Cory Allen Verhaalen | Registered representative | Feb 2026 (0y) | ||
| Courtney Erin Koch | Registered representative | Feb 2026 (0y) | ||
| Craig Alan Smith | Registered representative | Feb 2026 (0y) | ||
| Craig Evan Ward | Registered representative | Feb 2026 (0y) | ||
| Craig Gerald Homb | Registered representative | Feb 2026 (0y) | ||
| Craig Robert Zimmerman | Registered representative | Feb 2026 (0y) | ||
| Cristian Patrick Spence | Registered representative | Feb 2026 (0y) | ||
| Dale Charles Herring | Registered representative | Feb 2026 (0y) | ||
| Dalip Singh Chadha | Registered representative | Feb 2026 (0y) | ||
| Dan Julius Nguyen | Registered representative | Feb 2026 (0y) | ||
| Daniel Alejandro Torres Gonzalez | Registered representative | Feb 2026 (0y) | ||
| Daniel Allen Carlson | Registered representative | Feb 2026 (0y) | ||
| Daniel Christian Barrett Lund | Registered representative | Feb 2026 (0y) | ||
| Daniel Ernest Needler | Registered representative | Feb 2026 (0y) | ||
| Daniel Heath Terrall | Registered representative | Feb 2026 (0y) | ||
| Daniel Keith Wrigley | Registered representative | Feb 2026 (0y) | ||
| Daniel Lynn Freese | Registered representative | Feb 2026 (0y) | ||
| Daniel Patrick Murphy | Registered representative | Feb 2026 (0y) | ||
| Daniel Patrick Schumann | Registered representative | Feb 2026 (0y) | ||
| Daniel Patrick Weeks | Registered representative | Feb 2026 (0y) | ||
| Daniel Paul Entzeroth | Registered representative | Feb 2026 (0y) | ||
| Daniel Phillip Winter | Registered representative | Feb 2026 (0y) | ||
| Daniel Ray Doering | Registered representative | Feb 2026 (0y) | ||
| Daniel Ross Estell | Registered representative | Feb 2026 (0y) | ||
| Daniel Wesley Fitzpatrick | Registered representative | Feb 2026 (0y) | ||
| Danielle Louise Johnson | Registered representative | Feb 2026 (0y) | ||
| Danielle Lynn Bardin | Registered representative | Feb 2026 (0y) | ||
| Danielle Lynn Yingst | Registered representative | Feb 2026 (0y) | ||
| Danny Lopez | Registered representative | Feb 2026 (0y) | ||
| Darin Keith Bahm | Registered representative | Feb 2026 (0y) | ||
| Darin Patrick Ries | Registered representative | Feb 2026 (0y) | ||
| Darrell Lynn Benjamin | Registered representative | Feb 2026 (0y) | ||
| Darren Michael Mier | Registered representative | Feb 2026 (0y) | ||
| Darrin Leon Wiseman | Registered representative | Feb 2026 (0y) | ||
| Daryl Roam Gourley | Registered representative | Feb 2026 (0y) | ||
| Davene Jannell Cognard | Registered representative | Feb 2026 (0y) | ||
| David Andrew Earl | Registered representative | Feb 2026 (0y) | ||
| David Daniel Paulino | Registered representative | Feb 2026 (0y) | ||
| David Edward Koehler | Registered representative | Feb 2026 (0y) | ||
| David Gregg Davenport | Registered representative | Feb 2026 (0y) | ||
| David Jared Anderson | Registered representative | Feb 2026 (0y) | ||
| David Long Ellis | Registered representative | Feb 2026 (0y) | ||
| David Mack Ellington | Registered representative | Feb 2026 (0y) | ||
| David Peter Kopischke | Registered representative | Feb 2026 (0y) | ||
| David Ta Wei Lee | Registered representative | CFP | Feb 2026 (0y) | |
| Dawn Marie Burden | Registered representative | Feb 2026 (0y) | ||
| Dayna Lee Yuko Lopez | Registered representative | Feb 2026 (0y) | ||
| Deanna Lynn Tucker | Registered representative | Feb 2026 (0y) | ||
| Deanna Rae Summerlott | Registered representative | Feb 2026 (0y) | ||
| Debbie Lynn Bonvissuto | Registered representative | Feb 2026 (0y) | ||
| Deborah Lee Kavousi | Registered representative | Feb 2026 (0y) | ||
| Deirdre Ann Mc Garry | Registered representative | Feb 2026 (0y) | ||
| Delacy Keith Watts | Registered representative | Feb 2026 (0y) | ||
| Denim Anne Mercado | Registered representative | Feb 2026 (0y) | ||
| Dennis Michael Silva | Registered representative | Feb 2026 (0y) | ||
| Derek Donald Hayes | Registered representative | Feb 2026 (0y) | ||
| Derek Jon Harris | Registered representative | Feb 2026 (0y) | ||
| Diane Lynn Thorsen | Registered representative | Feb 2026 (0y) | ||
| Dione Tyra Pulsoni Hrasch | Registered representative | Feb 2026 (0y) | ||
| Dominic Alexander Blackwell | Registered representative | Feb 2026 (0y) | ||
| Donald James Sundt | Registered representative | Feb 2026 (0y) | ||
| Donald Jon Verhaalen | Registered representative | Feb 2026 (0y) | ||
| Donald Lee Hardcastle | Registered representative | Feb 2026 (0y) | ||
| Donna Louise Koenig | Registered representative | Feb 2026 (0y) | ||
| Donny Wayne Walberg | Registered representative | Feb 2026 (0y) | ||
| Douglas Alexander Eyssautier | Registered representative | Feb 2026 (0y) | ||
| Drew Anthony Shafer | Registered representative | Feb 2026 (0y) | ||
| Dung Le | Registered representative | Feb 2026 (0y) | ||
| Dustin Craig Unger | Registered representative | Feb 2026 (0y) | ||
| Dustin Dean Stroh | Registered representative | Feb 2026 (0y) | ||
| Dustin Wayne Adams | Registered representative | Feb 2026 (0y) | ||
| Dwayne Wright Mitchell | Registered representative | Feb 2026 (0y) | ||
| Dylan James Thomas | Registered representative | Feb 2026 (0y) | ||
| Eduardo Gonzalez Perez | Registered representative | Feb 2026 (0y) | ||
| Edward Andrew Mora | Registered representative | Feb 2026 (0y) | ||
| Edward August Behling | Registered representative | Feb 2026 (0y) | ||
| Edward William Stahlhuth | Registered representative | Feb 2026 (0y) | ||
| Edwin Javier Velasquez | Registered representative | Feb 2026 (0y) | ||
| Edwin Shanil Kumar | Registered representative | Feb 2026 (0y) | ||
| Elaine Chapin Spangenberg | Registered representative | Feb 2026 (0y) | ||
| Elaine Yefun Lee | Registered representative | Feb 2026 (0y) | ||
| Elia Michael Ghanem | Registered representative | Feb 2026 (0y) | ||
| Elie H Hleiss | Registered representative | Feb 2026 (0y) | ||
| Elizabeth Marie Reepe | Registered representative | Feb 2026 (0y) | ||
| Elizabeth Mary Karshna | Registered representative | Feb 2026 (0y) | ||
| Ema Brari | Registered representative | Feb 2026 (0y) | ||
| Emad Samy Gindi | Registered representative | Feb 2026 (0y) | ||
| Enrique Andres Juarez | Registered representative | Feb 2026 (0y) | ||
| Eric Charles Hudson | Registered representative | Feb 2026 (0y) | ||
| Eric David Moe | Registered representative | Feb 2026 (0y) | ||
| Eric Dong | Registered representative | Feb 2026 (0y) | ||
| Eric Joseph Warren | Registered representative | Feb 2026 (0y) | ||
| Eric Michael Mulligan | Registered representative | Feb 2026 (0y) | ||
| Eric Michael Yudis | Registered representative | Feb 2026 (0y) | ||
| Eric Robert Staab | Registered representative | Feb 2026 (0y) | ||
| Eric William Rudolph | Registered representative | Feb 2026 (0y) | ||
| Erich David Stabelfeldt | Registered representative | Feb 2026 (0y) | ||
| Erick Adame | Registered representative | Feb 2026 (0y) | ||
| Erin Michelle Kreiger | Registered representative | Feb 2026 (0y) | ||
| Esmeralda Angulo | Registered representative | Feb 2026 (0y) | ||
| Esperanza Martinez | Registered representative | Feb 2026 (0y) | ||
| Ethan Grant Scheel | Registered representative | Feb 2026 (0y) | ||
| Euching Lin Yang | Registered representative | Feb 2026 (0y) | ||
| Eustis Gerard Habighorst | Registered representative | Feb 2026 (0y) | ||
| Eva Jurate Comaduran | Registered representative | Feb 2026 (0y) | ||
| Evan Christopher Mallory | Registered representative | Feb 2026 (0y) | ||
| Evan John Trimble | Registered representative | Feb 2026 (0y) | ||
| Evan William Rusch | Registered representative | Feb 2026 (0y) | ||
| Evans Joseph Frimpong | Registered representative | Feb 2026 (0y) | ||
| Evonda Gail Sowders | Registered representative | Feb 2026 (0y) | ||
| Fisher Jonathan Eiss | Registered representative | Feb 2026 (0y) | ||
| Forrest Brooks Wilder | Registered representative | Feb 2026 (0y) | ||
| Frank N Cradduck | Registered representative | Feb 2026 (0y) | ||
| Frank Roy Wipfler | Registered representative | Feb 2026 (0y) | ||
| Frank Stewart Mc Govern | Registered representative | Feb 2026 (0y) | ||
| Gabriel Andrew Atencio | Registered representative | Feb 2026 (0y) | ||
| Gabriel Godoy | Registered representative | Feb 2026 (0y) | ||
| Garrett Ryan Mc Ginnis | Registered representative | Feb 2026 (0y) | ||
| Gary Allen Ulam | Registered representative | Feb 2026 (0y) | ||
| Gavin John Carter | Registered representative | Feb 2026 (0y) | ||
| George A Von Zedlitz | Registered representative | Feb 2026 (0y) | ||
| German Piran | Registered representative | Feb 2026 (0y) | ||
| German Vazquez Ii | Registered representative | Feb 2026 (0y) | ||
| Giuseppe Alessandro Distefano | Registered representative | Feb 2026 (0y) | ||
| Grayson Castle Biggs | Registered representative | Feb 2026 (0y) | ||
| Greg Lynn Pratte | Registered representative | Feb 2026 (0y) | ||
| Gregg Timothy Mc Call | Registered representative | Feb 2026 (0y) | ||
| Gregory Erich Schmidt | Registered representative | Feb 2026 (0y) | ||
| Gregory James Nugent | Registered representative | Feb 2026 (0y) | ||
| Gregory Paul Entzeroth | Registered representative | Feb 2026 (0y) | ||
| Gregory Robert Bisser | Registered representative | Feb 2026 (0y) | ||
| Gregory Scott Griffith | Registered representative | Feb 2026 (0y) | ||
| Gregory Stephen Secaur | Registered representative | Feb 2026 (0y) | ||
| Gregory Thomas Janasko | Registered representative | Feb 2026 (0y) | ||
| Gregory Thomas Murphy | Registered representative | Feb 2026 (0y) | ||
| Grifin Miles Lilly | Registered representative | Feb 2026 (0y) | ||
| Grigoriy V Kuznetsov | Registered representative | Feb 2026 (0y) | ||
| Guy Dennis Edwards | Registered representative | Feb 2026 (0y) | ||
| Haochen Hu Sneve | Registered representative | Feb 2026 (0y) | ||
| Haris Breining | Registered representative | Feb 2026 (0y) | ||
| Harman Singh Johal | Registered representative | Feb 2026 (0y) | ||
| Heather Day Patrek | Registered representative | Feb 2026 (0y) | ||
| Heather Marie Wild | Registered representative | Feb 2026 (0y) | ||
| Heidi Eileen Spurlock | Registered representative | Feb 2026 (0y) | ||
| Helen Gerson | Registered representative | Feb 2026 (0y) | ||
| Hiba Adnan Albasri | Registered representative | Feb 2026 (0y) | ||
| Hossein Moini | Registered representative | Feb 2026 (0y) | ||
| Huy Hoang Le | Registered representative | Feb 2026 (0y) | ||
| Ira Elijah Armad | Registered representative | Feb 2026 (0y) | ||
| Ivanhoe Juan Samuels | Registered representative | Feb 2026 (0y) | ||
| Jacob Andrew Golter | Registered representative | Feb 2026 (0y) | ||
| Jacob Dean Hageman | Registered representative | Feb 2026 (0y) | ||
| Jacob John Trimble | Registered representative | Feb 2026 (0y) | ||
| Jacob Paul Cote | Registered representative | Feb 2026 (0y) | ||
| Jacob Scot Lamb | Registered representative | Feb 2026 (0y) | ||
| Jacob Scott Allen | Registered representative | Feb 2026 (0y) | ||
| Jacob Thomas Puzio | Registered representative | Feb 2026 (0y) | ||
| Jacquelynn Maxon | Registered representative | Feb 2026 (0y) | ||
| Jairo Yancarlo Adame | Registered representative | Feb 2026 (0y) | ||
| James Adam Tracy | Registered representative | Feb 2026 (0y) | ||
| James Evan Sarow | Registered representative | Feb 2026 (0y) | ||
| James Francis Baka | Registered representative | Feb 2026 (0y) | ||
| James Howard Dockens | Registered representative | Feb 2026 (0y) | ||
| James Locke | Registered representative | Feb 2026 (0y) | ||
| James Michael Carilli | Registered representative | Feb 2026 (0y) | ||
| James Richard Jackson | Registered representative | Feb 2026 (0y) | ||
| James Ryo Nagahiro | Registered representative | Feb 2026 (0y) | ||
| James Steven Dennik | Registered representative | Feb 2026 (0y) | ||
| James Thomas Krupar | Registered representative | Feb 2026 (0y) | ||
| James W Choi | Registered representative | Feb 2026 (0y) | ||
| Jamie Argueta | Registered representative | Feb 2026 (0y) | ||
| Janine Marie Mc Whirteryoung | Registered representative | Feb 2026 (0y) | ||
| Jason Allen Vaughn | Registered representative | Feb 2026 (0y) | ||
| Jason Andrew Ryan | Registered representative | Feb 2026 (0y) | ||
| Jason Chia Wun Chen | Registered representative | Feb 2026 (0y) | ||
| Jason Daniel Lee Herman | Registered representative | Feb 2026 (0y) | ||
| Jason Khing Ong | Registered representative | Feb 2026 (0y) | ||
| Jason M Huynh | Registered representative | Feb 2026 (0y) | ||
| Jason Marcus Garcia | Registered representative | Feb 2026 (0y) | ||
| Jason Oliver Will | Registered representative | Feb 2026 (0y) | ||
| Jason Scott Austerman | Registered representative | Feb 2026 (0y) | ||
| Javier Rodriguez | Registered representative | Feb 2026 (0y) | ||
| Jay A La Mar | Registered representative | Feb 2026 (0y) | ||
| Jeanne Marie Abraham | Registered representative | Feb 2026 (0y) | ||
| Jeff Alan Merlino | Registered representative | Feb 2026 (0y) | ||
| Jeff Anton Nizich | Registered representative | Feb 2026 (0y) | ||
| Jeff Scott Richman | Registered representative | Feb 2026 (0y) | ||
| Jeffery Taylor | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Alan Barton | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Allan Lueck | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Carl Perry | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Cheng Ming Lu | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Daniel Schroeder | Registered representative | Feb 2026 (0y) | ||
| Jeffrey James Philipsek | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Jay Benton | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Lyle Blackburn | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Maurice Range | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Michael Ponte | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Richard Olson | Registered representative | Feb 2026 (0y) | ||
| Jennifer Lyn Groholski | Registered representative | Feb 2026 (0y) | ||
| Jennifer Lynn Angel | Registered representative | Feb 2026 (0y) | ||
| Jennifer Lynn Barber Uhri | Registered representative | Feb 2026 (0y) | ||
| Jennifer Marie Bugbee | Registered representative | Feb 2026 (0y) | ||
| Jerad Allen Buckingham | Registered representative | Feb 2026 (0y) | ||
| Jeremy Alan Monnin | Registered representative | Feb 2026 (0y) | ||
| Jeremy Beauregard Sloan | Registered representative | Feb 2026 (0y) | ||
| Jeremy C Weemhoff | Registered representative | Feb 2026 (0y) | ||
| Jerod Ashley Tilton | Registered representative | Feb 2026 (0y) | ||
| Jerome David Pickar | Registered representative | Feb 2026 (0y) | ||
| Jesse Durene Mains | Registered representative | Feb 2026 (0y) | ||
| Jesse Michael Shaskin | Registered representative | Feb 2026 (0y) | ||
| Jesse Sheridan Axtell | Registered representative | Feb 2026 (0y) | ||
| Jessica Kirsten Mohrman | Registered representative | Feb 2026 (0y) | ||
| Jessica Lannamann Winandy | Registered representative | Feb 2026 (0y) | ||
| Jessica Rae Poehler | Registered representative | Feb 2026 (0y) | ||
| Ji Yun Wang | Registered representative | Feb 2026 (0y) | ||
| Joel Ira Floum | Registered representative | Feb 2026 (0y) | ||
| Joel Richard Schwartz | Registered representative | Feb 2026 (0y) | ||
| John Alan Grosshans | Registered representative | Feb 2026 (0y) | ||
| John Connor La Favre | Registered representative | Feb 2026 (0y) | ||
| John David Christen | Registered representative | Feb 2026 (0y) | ||
| John Douglas Williams | Registered representative | Feb 2026 (0y) | ||
| John Edward Fetrow | Registered representative | Feb 2026 (0y) | ||
| John Edward Penshorn | Registered representative | Feb 2026 (0y) | ||
| John Joseph Moriarty | Registered representative | Feb 2026 (0y) | ||
| John Marvin Schmitt | Registered representative | Feb 2026 (0y) | ||
| John Nathan Sinnema | Registered representative | Feb 2026 (0y) | ||
| John Sumner Froman | Registered representative | Feb 2026 (0y) | ||
| John Terry Chipian | Registered representative | Feb 2026 (0y) | ||
| John Thomas Hunter | Registered representative | Feb 2026 (0y) | ||
| John Vincent Rack | Registered representative | Feb 2026 (0y) | ||
| Johnathan Taylor Bell | Registered representative | Feb 2026 (0y) | ||
| Johnny A Chacon | Registered representative | Feb 2026 (0y) | ||
| Johnny Ruh Haren | Registered representative | Feb 2026 (0y) | ||
| Johnny Tzu Hua Liu | Registered representative | Feb 2026 (0y) | ||
| Jon Daniel Szatkowski | Registered representative | Feb 2026 (0y) | ||
| Jonathan Andrew Gruber | Registered representative | Feb 2026 (0y) | ||
| Jonathan David Brunscheen | Registered representative | Feb 2026 (0y) | ||
| Jonathan David Eiss | Registered representative | Feb 2026 (0y) | ||
| Jonathan Elijah Narloch | Registered representative | Feb 2026 (0y) | ||
| Jonathan Eugene Gennaro | Registered representative | Feb 2026 (0y) | ||
| Jonathan Eugene Patterson | Registered representative | Feb 2026 (0y) | ||
| Jonathan Joel Riekert | Registered representative | Feb 2026 (0y) | ||
| Jonathan Jun Lee | Registered representative | Feb 2026 (0y) | ||
| Jonathan Michael Eschan | Registered representative | Feb 2026 (0y) | ||
| Jonnie Terrance Byrd | Registered representative | Feb 2026 (0y) | ||
| Jordan John Dumke | Registered representative | Feb 2026 (0y) | ||
| Jorge Abel Romero | Registered representative | Feb 2026 (0y) | ||
| Jose Nelson Cuellar | Registered representative | Feb 2026 (0y) | ||
| Josef Peter Mehle | Registered representative | Feb 2026 (0y) | ||
| Joseph Anthony List | Registered representative | Feb 2026 (0y) | ||
| Joseph Daniel Ott | Registered representative | Feb 2026 (0y) | ||
| Joseph Dominic Lombardo | Registered representative | Feb 2026 (0y) | ||
| Joseph Giustino | Registered representative | Feb 2026 (0y) | ||
| Joseph Jung | Registered representative | Feb 2026 (0y) | ||
| Joseph Lawton Mustain | Registered representative | Feb 2026 (0y) | ||
| Joseph Lee Hoffmeyer | Registered representative | Feb 2026 (0y) | ||
| Joseph S Ori | Registered representative | Feb 2026 (0y) | ||
| Joseph William Lamont | Registered representative | Feb 2026 (0y) | ||
| Joshua Canales | Registered representative | Feb 2026 (0y) | ||
| Joshua Dirk Boomsma | Registered representative | Feb 2026 (0y) | ||
| Joshua Todd Oltman | Registered representative | Feb 2026 (0y) | ||
| Juan Carlos Villegas | Registered representative | Feb 2026 (0y) | ||
| Julianne Marie Melulis | Registered representative | Feb 2026 (0y) | ||
| Julie Anne Leppo | Registered representative | Feb 2026 (0y) | ||
| Julie Marie Fabian | Registered representative | Feb 2026 (0y) | ||
| Julie Michelle Miller | Registered representative | Feb 2026 (0y) | ||
| Julius Bih Huan Fang | Registered representative | Feb 2026 (0y) | ||
| Justin Ajay Singh | Registered representative | Feb 2026 (0y) | ||
| Justin Anthony Brock | Registered representative | Feb 2026 (0y) | ||
| Justin Charles Gasser | Registered representative | Feb 2026 (0y) | ||
| Justin Daniel Reed | Registered representative | Feb 2026 (0y) | ||
| Justin Edward Paden | Registered representative | Feb 2026 (0y) | ||
| Justin Emil Sayada | Registered representative | Feb 2026 (0y) | ||
| Justin Joseph Robertson | Registered representative | Feb 2026 (0y) | ||
| Justin Michael Moore | Registered representative | Feb 2026 (0y) | ||
| Justin Thomas Camarda | Registered representative | Feb 2026 (0y) | ||
| Justin Tracy Southwell | Registered representative | Feb 2026 (0y) | ||
| Justin Tyler Hoelker | Registered representative | Feb 2026 (0y) | ||
| Jyoti Narsai | Registered representative | Feb 2026 (0y) | ||
| Kai Bryan Warren | Registered representative | Feb 2026 (0y) | ||
| Kaitlyn Virginia Cundiff | Registered representative | Feb 2026 (0y) | ||
| Kara Kristin Snyder | Registered representative | Feb 2026 (0y) | ||
| Karen Jane Vanstrom | Registered representative | Feb 2026 (0y) | ||
| Kari Ellen Patrick | Registered representative | Feb 2026 (0y) | ||
| Karyn Erne Beltran Medina | Registered representative | Feb 2026 (0y) | ||
| Katherine Ann Van Rooyan | Registered representative | Feb 2026 (0y) | ||
| Katherine Marie Giles | Registered representative | Feb 2026 (0y) | ||
| Katherine Marie Hooper | Registered representative | Feb 2026 (0y) | ||
| Kathleen Ann Toelke | Registered representative | Feb 2026 (0y) | ||
| Kathleen Nancy Gallardo | Registered representative | Feb 2026 (0y) | ||
| Kayleen Elizabeth Schultz | Registered representative | Feb 2026 (0y) | ||
| Keenan Thomas James Meitner | Registered representative | Feb 2026 (0y) | ||
| Kelly Jo Ann Luevano | Registered representative | Feb 2026 (0y) | ||
| Kelly Kathleen Urban | Registered representative | Feb 2026 (0y) | ||
| Kelly Lee Schreiner | Registered representative | Feb 2026 (0y) | ||
| Kelly Valla Proctor | Registered representative | Feb 2026 (0y) | ||
| Kelvin Lam | Registered representative | Feb 2026 (0y) | ||
| Ken Le Pham | Registered representative | Feb 2026 (0y) | ||
| Kenneth Michael Faust | Registered representative | Feb 2026 (0y) | ||
| Kerry Irene Bleuher | Registered representative | Feb 2026 (0y) | ||
| Kevin Alan Craig | Registered representative | Feb 2026 (0y) | ||
| Kevin Christian Lockard | Registered representative | Feb 2026 (0y) | ||
| Kevin James Whitehead | Registered representative | Feb 2026 (0y) | ||
| Kevin John Kiesig | Registered representative | Feb 2026 (0y) | ||
| Kevin Joseph Renard | Registered representative | Feb 2026 (0y) | ||
| Kevin Matthew Eames | Registered representative | Feb 2026 (0y) | ||
| Kevin Neil Carron | Registered representative | Feb 2026 (0y) | ||
| Kevin Omid Alaghemand | Registered representative | Feb 2026 (0y) | ||
| Kevin Patrick Shaughnessy | Registered representative | Feb 2026 (0y) | ||
| Kevin Scott Good | Registered representative | Feb 2026 (0y) | ||
| Khang Kinh Chau | Registered representative | Feb 2026 (0y) | ||
| Khanh Thuy Truong Nguyen | Registered representative | Feb 2026 (0y) | ||
| Kim Thien Tran Nguyen | Registered representative | Feb 2026 (0y) | ||
| Kimberley Michaud Jendrick | Registered representative | Feb 2026 (0y) | ||
| Kimberly L Tobias | Registered representative | Feb 2026 (0y) | ||
| Kin Yi Chow Santiago | Registered representative | Feb 2026 (0y) | ||
| Krista Michelle Van Sickle | Registered representative | Feb 2026 (0y) | ||
| Kristen Marie Leibolt | Registered representative | Feb 2026 (0y) | ||
| Kristin Lauri Mullins | Registered representative | Feb 2026 (0y) | ||
| Kyalo Peter Muthiani | Registered representative | Feb 2026 (0y) | ||
| Kyla Ashly Burch | Registered representative | Feb 2026 (0y) | ||
| Kyle James Tate | Registered representative | Feb 2026 (0y) | ||
| Kyle Joseph Hartley | Registered representative | Feb 2026 (0y) | ||
| Kyle Kevin Duffy | Registered representative | Feb 2026 (0y) | ||
| Kyle Richard Ramsey | Registered representative | Feb 2026 (0y) | ||
| La Deanna Rochelle Damron | Registered representative | Feb 2026 (0y) | ||
| Lamar Dieter Rahden | Registered representative | Feb 2026 (0y) | ||
| Lance Ervin Boettcher | Registered representative | Feb 2026 (0y) | ||
| Lani Star Aronsen | Registered representative | Feb 2026 (0y) | ||
| Larissa Rose Martinez | Registered representative | Feb 2026 (0y) | ||
| Laura Jeannine Halsey | Registered representative | Feb 2026 (0y) | ||
| Laura Schwendinger Rosser | Registered representative | Feb 2026 (0y) | ||
| Lauren Renee Blakeslee | Registered representative | Feb 2026 (0y) | ||
| Lawrence Anthony Praml | Registered representative | Feb 2026 (0y) | ||
| Le Ann Renae Gilmore | Registered representative | Feb 2026 (0y) | ||
| Le Ann Renee Erenberger | Registered representative | Feb 2026 (0y) | ||
| Lee Carver Vaughan | Registered representative | Feb 2026 (0y) | ||
| Lee Thomas Gagne | Registered representative | Feb 2026 (0y) | ||
| Lei Lei Chan | Registered representative | Feb 2026 (0y) | ||
| Leila Chaparian | Registered representative | Feb 2026 (0y) | ||
| Leinelle Mandy Warren | Registered representative | Feb 2026 (0y) | ||
| Lesta Lee Sanchez | Registered representative | Feb 2026 (0y) | ||
| Levi Adam Thomas | Registered representative | Feb 2026 (0y) | ||
| Lincoln Gregory Skaggs | Registered representative | Feb 2026 (0y) | ||
| Linda Ann Gruenfeldt | Registered representative | Feb 2026 (0y) | ||
| Lindsay Dee Ann Swift | Registered representative | Feb 2026 (0y) | ||
| Lindsey Marie Vivien Ludtke | Registered representative | Feb 2026 (0y) | ||
| Lisa Jean Rookaird | Registered representative | Feb 2026 (0y) | ||
| Lisa P Britt | Registered representative | Feb 2026 (0y) | ||
| Lisa Renee Kopis | Registered representative | Feb 2026 (0y) | ||
| Lori D Dugger | Registered representative | Feb 2026 (0y) | ||
| Lori Katherine Pilon | Registered representative | Feb 2026 (0y) | ||
| Loyce Denise Alexander | Registered representative | Feb 2026 (0y) | ||
| Lucas Dale Rogers | Registered representative | Feb 2026 (0y) | ||
| Lucas James Bell | Registered representative | Feb 2026 (0y) | ||
| Luis Noe Bejarano | Registered representative | Feb 2026 (0y) | ||
| Luis Diego Quiroz | Registered representative | Feb 2026 (0y) | ||
| Luiz Augusto Souto Maior | Registered representative | Feb 2026 (0y) | ||
| Luke Jordan Bakker | Registered representative | Feb 2026 (0y) | ||
| Luke Kreikemeier Rihanek | Registered representative | Feb 2026 (0y) | ||
| Lynn Renee Mc Allister | Registered representative | Feb 2026 (0y) | ||
| Maeda Ann Webster | Registered representative | Feb 2026 (0y) | ||
| Mahes William Prasad | Registered representative | Feb 2026 (0y) | ||
| Mahmoud Ishaq Bah | Registered representative | Feb 2026 (0y) | ||
| Mai Thi Le | Registered representative | Feb 2026 (0y) | ||
| Marcia Marie Secor | Registered representative | Feb 2026 (0y) | ||
| Marena Mary Tufenkjian | Registered representative | Feb 2026 (0y) | ||
| Margaret Mary Sewart | Registered representative | Feb 2026 (0y) | ||
| Maria Guadalupe Carvajal | Registered representative | Feb 2026 (0y) | ||
| Maria Idolina Uribe | Registered representative | CFP | Feb 2026 (0y) | |
| Maria Pilar Cusi Pettys | Registered representative | Feb 2026 (0y) | ||
| Marie Annette Azbill | Registered representative | Feb 2026 (0y) | ||
| Mario Hernandez | Registered representative | Feb 2026 (0y) | ||
| Mark Allen Graham | Registered representative | Feb 2026 (0y) | ||
| Mark Allen Roberts | Registered representative | Feb 2026 (0y) | ||
| Mark Andrew Hackett | Registered representative | Feb 2026 (0y) | ||
| Mark Andrew Paskowski | Registered representative | Feb 2026 (0y) | ||
| Mark Anthony Migrino | Registered representative | Feb 2026 (0y) | ||
| Mark Casey Sears | Registered representative | Feb 2026 (0y) | ||
| Mark Joseph Bauer | Registered representative | Feb 2026 (0y) | ||
| Mark Thomas Vihstadt | Registered representative | Feb 2026 (0y) | ||
| Mark Timothy Fitch | Registered representative | Feb 2026 (0y) | ||
| Mark Wesley Roach | Registered representative | Feb 2026 (0y) | ||
| Marla Dee Cox | Registered representative | Feb 2026 (0y) | ||
| Marlo Jover Carpio | Registered representative | Feb 2026 (0y) | ||
| Marshall Ward Phillips | Registered representative | Feb 2026 (0y) | ||
| Marvin Le Roy Groom | Registered representative | Feb 2026 (0y) | ||
| Mary Ann Schmutte | Registered representative | Feb 2026 (0y) | ||
| Mary Kennedy Martuscelli | Registered representative | Feb 2026 (0y) | ||
| Mary Keva Neill | Registered representative | Feb 2026 (0y) | ||
| Maryann Wolfenden | Registered representative | Feb 2026 (0y) | ||
| Mason Craig Fox | Registered representative | Feb 2026 (0y) | ||
| Mat Madison Turner | Registered representative | Feb 2026 (0y) | ||
| Matthew A Woolley | Registered representative | Feb 2026 (0y) | ||
| Matthew Bryce Johnson | Registered representative | Feb 2026 (0y) | ||
| Matthew Christopher Thorp | Registered representative | Feb 2026 (0y) | ||
| Matthew Craig Hanson | Registered representative | Feb 2026 (0y) | ||
| Matthew Dal Porto Sain | Registered representative | Feb 2026 (0y) | ||
| Matthew David Mc Mahon | Registered representative | Feb 2026 (0y) | ||
| Matthew Innecken Stroud | Registered representative | Feb 2026 (0y) | ||
| Matthew James Gary | Registered representative | Feb 2026 (0y) | ||
| Matthew Jason Patrick | Registered representative | Feb 2026 (0y) | ||
| Matthew John Kuhn | Registered representative | Feb 2026 (0y) | ||
| Matthew Joseph Folsom | Registered representative | Feb 2026 (0y) | ||
| Matthew Scott Mohnsen | Registered representative | Feb 2026 (0y) | ||
| Maury James Wilmes | Registered representative | Feb 2026 (0y) | ||
| Maxine Annapolen Drexler | Registered representative | Feb 2026 (0y) | ||
| Megan Renee Norman | Registered representative | Feb 2026 (0y) | ||
| Mehmet Gulisik | Registered representative | Feb 2026 (0y) | ||
| Melissa Ann Harrington Leonard | Registered representative | Feb 2026 (0y) | ||
| Melissa Faith Talberg | Registered representative | Feb 2026 (0y) | ||
| Melissa Nazareno Margallo | Registered representative | Feb 2026 (0y) | ||
| Melissa Rae Bestul | Registered representative | Feb 2026 (0y) | ||
| Melody Mae Bliss | Registered representative | Feb 2026 (0y) | ||
| Melvin Raymond Blann | Registered representative | Feb 2026 (0y) | ||
| Merima Ramushi | Registered representative | Feb 2026 (0y) | ||
| Mia Mc Kinnon Lappen | Registered representative | Feb 2026 (0y) | ||
| Micah David Binegar | Registered representative | Feb 2026 (0y) | ||
| Michael Aaron Padilla | Registered representative | Feb 2026 (0y) | ||
| Michael Alan Kelzenberg | Registered representative | Feb 2026 (0y) | ||
| Michael Burrell Le Fever | Registered representative | Feb 2026 (0y) | ||
| Michael Cameron Mc Lean | Registered representative | Feb 2026 (0y) | ||
| Michael Cong Truong | Registered representative | Feb 2026 (0y) | ||
| Michael Corey Katz | Registered representative | Feb 2026 (0y) | ||
| Michael Craig Forgea | Registered representative | Feb 2026 (0y) | ||
| Michael Craig Lorenzen | Registered representative | Feb 2026 (0y) | ||
| Michael David Bruton | Registered representative | Feb 2026 (0y) | ||
| Michael Eric Holden | Registered representative | Feb 2026 (0y) | ||
| Michael J Rizzo | Registered representative | Feb 2026 (0y) | ||
| Michael James Robertson | Registered representative | Feb 2026 (0y) | ||
| Michael Jay Bryan | Registered representative | Feb 2026 (0y) | ||
| Michael John Hamilton | Registered representative | Feb 2026 (0y) | ||
| Michael John Hanewinkel | Registered representative | Feb 2026 (0y) | ||
| Michael John Mathis | Registered representative | Feb 2026 (0y) | ||
| Michael Joseph Powers | Registered representative | Feb 2026 (0y) | ||
| Michael Joseph Vicars | Registered representative | CFP | Feb 2026 (0y) | |
| Michael Louis Foerster | Registered representative | Feb 2026 (0y) | ||
| Michael Mathewson | Registered representative | Feb 2026 (0y) | ||
| Michael Paul Sinna | Registered representative | Feb 2026 (0y) | ||
| Michael Pereira D'almeida | Registered representative | Feb 2026 (0y) | ||
| Michael Ray Martin | Registered representative | Feb 2026 (0y) | ||
| Michael Robert Granja | Registered representative | Feb 2026 (0y) | ||
| Michael Thomas Sigurdson | Registered representative | Feb 2026 (0y) | ||
| Micheal Preston Taylor | Registered representative | Feb 2026 (0y) | ||
| Michelle Byde Buchanan | Registered representative | Feb 2026 (0y) | ||
| Michelle Christine Ramola | Registered representative | Feb 2026 (0y) | ||
| Michelle Dianne Wick | Registered representative | Feb 2026 (0y) | ||
| Michelle Lynne Swint | Registered representative | Feb 2026 (0y) | ||
| Miguel Ivan Macias | Registered representative | Feb 2026 (0y) | ||
| Mikasa Lee Grzebielski | Registered representative | Feb 2026 (0y) | ||
| Mike Alaghemand | Registered representative | Feb 2026 (0y) | ||
| Minjee Sohn | Registered representative | Feb 2026 (0y) | ||
| Misty Lanae Sturgill | Registered representative | Feb 2026 (0y) | ||
| Mitchell John Slusarski | Registered representative | Feb 2026 (0y) | ||
| Modupe Amber Omoyayi | Registered representative | Feb 2026 (0y) | ||
| Molly Christina Barr Kinney | Registered representative | Feb 2026 (0y) | ||
| Morgan James Lynch | Registered representative | Feb 2026 (0y) | ||
| Muamer Maksumic | Registered representative | Feb 2026 (0y) | ||
| My Nga Thi Do | Registered representative | Feb 2026 (0y) | ||
| Najib Husain | Registered representative | Feb 2026 (0y) | ||
| Namer Nader Fakhoury | Registered representative | Feb 2026 (0y) | ||
| Nancy Barillas Vega | Registered representative | Feb 2026 (0y) | ||
| Natalie Marie Specht | Registered representative | Feb 2026 (0y) | ||
| Nataliia A Romriell | Registered representative | Feb 2026 (0y) | ||
| Natasha Alana Miller | Registered representative | Feb 2026 (0y) | ||
| Nathan George Wehage | Registered representative | Feb 2026 (0y) | ||
| Nathan John Sand | Registered representative | Feb 2026 (0y) | ||
| Nathan Jon Schwichtenberg | Registered representative | Feb 2026 (0y) | ||
| Neha Maithani | Registered representative | Feb 2026 (0y) | ||
| Neil Leon Ferguson | Registered representative | Feb 2026 (0y) | ||
| Neil Lloyd Siegel | Registered representative | Feb 2026 (0y) | ||
| Nelson Patrick Cooney | Registered representative | Feb 2026 (0y) | ||
| Nestor Lemus | Registered representative | Feb 2026 (0y) | ||
| Nicholas Christopher Ciampone | Registered representative | Feb 2026 (0y) | ||
| Nicholas Matthew Gary | Registered representative | Feb 2026 (0y) | ||
| Nicholas Paul Anthony Rubeo | Registered representative | Feb 2026 (0y) | ||
| Nicholas Steven Proksch | Registered representative | Feb 2026 (0y) | ||
| Nichole Dove Jansen | Registered representative | Feb 2026 (0y) | ||
| Nicole Marie Campos | Registered representative | Feb 2026 (0y) | ||
| Nicole Marie Wiethe | Registered representative | Feb 2026 (0y) | ||
| Nina Quinn Catherine Hoffmann | Registered representative | Feb 2026 (0y) | ||
| Noosha Sharif | Registered representative | Feb 2026 (0y) | ||
| Olexandra Suprun | Registered representative | Feb 2026 (0y) | ||
| Omid Noori | Registered representative | Feb 2026 (0y) | ||
| Pablo Joshua Thompson | Registered representative | Feb 2026 (0y) | ||
| Palani Christopher Lopez | Registered representative | Feb 2026 (0y) | ||
| Pancho Ivanov Nachev | Registered representative | Feb 2026 (0y) | ||
| Patricia Gutierrez Rodriguez | Registered representative | Feb 2026 (0y) | ||
| Patricia Lopez | Registered representative | Feb 2026 (0y) | ||
| Patrick James Frederick | Registered representative | Feb 2026 (0y) | ||
| Paul Chungkwan Kim | Registered representative | Feb 2026 (0y) | ||
| Paul Michael Denne | Registered representative | Feb 2026 (0y) | ||
| Paul Michael Peter Lamm | Registered representative | Feb 2026 (0y) | ||
| Paul Nalbandian | Registered representative | Feb 2026 (0y) | ||
| Paul Vincent Greco | Registered representative | Feb 2026 (0y) | ||
| Paul William Borowski | Registered representative | Feb 2026 (0y) | ||
| Paula Marie Terry | Registered representative | Feb 2026 (0y) | ||
| Peter Baldwin Bogardus | Registered representative | Feb 2026 (0y) | ||
| Peter Douglas Holoien | Registered representative | Feb 2026 (0y) | ||
| Peter Jacob Medin | Registered representative | CFP | Feb 2026 (0y) | |
| Philip Eugene Yockey | Registered representative | Feb 2026 (0y) | ||
| Philip Scott Roth | Registered representative | Feb 2026 (0y) | ||
| Phillip Lee Hyland | Registered representative | Feb 2026 (0y) | ||
| Phillip Victor Swayze | Registered representative | Feb 2026 (0y) | ||
| Piero Pannarale | Registered representative | Feb 2026 (0y) | ||
| Prashant Thakker | Registered representative | Feb 2026 (0y) | ||
| Quang Le Anh Nguyen | Registered representative | Feb 2026 (0y) | ||
| Quinton Alexander Morckel | Registered representative | Feb 2026 (0y) | ||
| Quinton Robert Espinosa | Registered representative | Feb 2026 (0y) | ||
| Rachel Ann Kurpe | Registered representative | Feb 2026 (0y) | ||
| Rachel Ann Lee | Registered representative | Feb 2026 (0y) | ||
| Rachel Lee Torres | Registered representative | Feb 2026 (0y) | ||
| Rachel Lynne Hume | Registered representative | Feb 2026 (0y) | ||
| Ralph Blake Mc Kenzie | Registered representative | Feb 2026 (0y) | ||
| Randal Gregory Stinson | Registered representative | Feb 2026 (0y) | ||
| Randall Eugene Rohde | Registered representative | Feb 2026 (0y) | ||
| Ray Kwan | Registered representative | Feb 2026 (0y) | ||
| Rebecca S Danihlik | Registered representative | Feb 2026 (0y) | ||
| Reed Joseph Munly | Registered representative | Feb 2026 (0y) | ||
| Regina Anne Susa | Registered representative | Feb 2026 (0y) | ||
| Regina Charlene Stalzer | Registered representative | Feb 2026 (0y) | ||
| Regina Gail Parsley Byrd | Registered representative | Feb 2026 (0y) | ||
| Renata Burns | Registered representative | Feb 2026 (0y) | ||
| Rennie Dustin Tucker Meuse | Registered representative | Feb 2026 (0y) | ||
| Reza Sarem Aslani | Registered representative | Feb 2026 (0y) | ||
| Ricardo J Garcia | Registered representative | Feb 2026 (0y) | ||
| Richard Anthony Jacobsmeyer | Registered representative | Feb 2026 (0y) | ||
| Richard Carl Sexton | Registered representative | Feb 2026 (0y) | ||
| Richard James Harkless | Registered representative | Feb 2026 (0y) | ||
| Richard Michael Faber | Registered representative | Feb 2026 (0y) | ||
| Richard P Barnes | Registered representative | Feb 2026 (0y) | ||
| Richard Patrick Bertino | Registered representative | Feb 2026 (0y) | ||
| Richard Wallace Blacharski | Registered representative | Feb 2026 (0y) | ||
| Richelle Denice Wilkerson | Registered representative | Feb 2026 (0y) | ||
| Rick A Hutchison | Registered representative | Feb 2026 (0y) | ||
| Robb Wynn Clasen | Registered representative | Feb 2026 (0y) | ||
| Robert Allen Rader | Registered representative | Feb 2026 (0y) | ||
| Robert Douglas Kotval | Registered representative | Feb 2026 (0y) | ||
| Robert James Gil | Registered representative | Feb 2026 (0y) | ||
| Robert Jeffrey Hawkins | Registered representative | Feb 2026 (0y) | ||
| Robert Kenyon Spears | Registered representative | Feb 2026 (0y) | ||
| Robert Lee Brainard | Registered representative | Feb 2026 (0y) | ||
| Robert Melvin Steiner | Registered representative | Feb 2026 (0y) | ||
| Robert Michael Moss | Registered representative | Feb 2026 (0y) | ||
| Robert Michael Rubottom | Registered representative | Feb 2026 (0y) | ||
| Robert Thomas Stoltz | Registered representative | Feb 2026 (0y) | ||
| Robin Dean Hobbs | Registered representative | Feb 2026 (0y) | ||
| Robin Doreen Martin | Registered representative | Feb 2026 (0y) | ||
| Rocco Anthony Di Franco | Registered representative | Feb 2026 (0y) | ||
| Rodney Alvin Sanders | Registered representative | Feb 2026 (0y) | ||
| Roksana Powell | Registered representative | Feb 2026 (0y) | ||
| Ron Leibovici | Registered representative | Feb 2026 (0y) | ||
| Ronald Edward Brickman | Registered representative | Feb 2026 (0y) | ||
| Ronald Scott Hutton | Registered representative | Feb 2026 (0y) | ||
| Ronald Stephen Knight | Registered representative | Feb 2026 (0y) | ||
| Ronald Timothy Clement | Registered representative | Feb 2026 (0y) | ||
| Ruel Lamberto Cabarles | Registered representative | Feb 2026 (0y) | ||
| Russell Millner Cleveland | Registered representative | Feb 2026 (0y) | ||
| Russell Stanton Bold | Registered representative | Feb 2026 (0y) | ||
| Ryan Burdell Clark | Registered representative | Feb 2026 (0y) | ||
| Ryan Kevin Gonzales | Registered representative | Feb 2026 (0y) | ||
| Sahar Hejazi | Registered representative | Feb 2026 (0y) | ||
| Saksoknik Sopheak | Registered representative | Feb 2026 (0y) | ||
| Salim Augustyn | Registered representative | Feb 2026 (0y) | ||
| Samantha Rasmussen | Registered representative | Feb 2026 (0y) | ||
| Samuel D'arcy Cox Fox | Registered representative | Feb 2026 (0y) | ||
| Samuel Hap Prussack | Registered representative | Feb 2026 (0y) | ||
| Samuel J Leidholm | Registered representative | Feb 2026 (0y) | ||
| Samuel Marvin Schwagel | Registered representative | Feb 2026 (0y) | ||
| Sarah Elizabeth La Coste Brown | Registered representative | Feb 2026 (0y) | ||
| Scott Adrian Senkel | Registered representative | Feb 2026 (0y) | ||
| Scott Calvin Hartman | Registered representative | Feb 2026 (0y) | ||
| Scott Dana Faulkner | Registered representative | Feb 2026 (0y) | ||
| Scott David Erisman | Registered representative | Feb 2026 (0y) | ||
| Scott David Mickelson | Registered representative | Feb 2026 (0y) | ||
| Scott Dennis Anderson | Registered representative | Feb 2026 (0y) | ||
| Scott Jason Dougherty | Registered representative | Feb 2026 (0y) | ||
| Scott Lee D'amico | Registered representative | Feb 2026 (0y) | ||
| Scott Timothy Simon | Registered representative | Feb 2026 (0y) | ||
| Scottie Lamar Smith | Registered representative | Feb 2026 (0y) | ||
| Sean Allen Yell | Registered representative | Feb 2026 (0y) | ||
| Sean Anthony Fuller | Registered representative | Feb 2026 (0y) | ||
| Sean David Clark | Registered representative | Feb 2026 (0y) | ||
| Sean Jeffrey Lambrecht | Registered representative | Feb 2026 (0y) | ||
| Sean Matthew Steward | Registered representative | Feb 2026 (0y) | ||
| Sean Michael Brown | Registered representative | Feb 2026 (0y) | ||
| Sean Michael Fairclough | Registered representative | Feb 2026 (0y) | ||
| Sean Patrick Curtis | Registered representative | Feb 2026 (0y) | ||
| Sean Patrick Finley | Registered representative | Feb 2026 (0y) | ||
| Sean Patrick Miller | Registered representative | Feb 2026 (0y) | ||
| Sergio Gerardo Gracia | Registered representative | Feb 2026 (0y) | ||
| Sergio Romero | Registered representative | Feb 2026 (0y) | ||
| Seth Richard Thiele | Registered representative | Feb 2026 (0y) | ||
| Shane Kristian Fallot | Registered representative | Feb 2026 (0y) | ||
| Shane Lee Rogers | Registered representative | Feb 2026 (0y) | ||
| Shannon Marie York | Registered representative | Feb 2026 (0y) | ||
| Shanoor Salim Kalyan | Registered representative | Feb 2026 (0y) | ||
| Sharina Maria Merid | Registered representative | Feb 2026 (0y) | ||
| Sharon A Green | Registered representative | Feb 2026 (0y) | ||
| Shaun Eugene Moore | Registered representative | Feb 2026 (0y) | ||
| Shawn Christian Overman | Registered representative | Feb 2026 (0y) | ||
| Shawn Scott Lorion | Registered representative | Feb 2026 (0y) | ||
| Sheila Blanche Lee Powell | Registered representative | Feb 2026 (0y) | ||
| Shelly Guan Chia | Registered representative | Feb 2026 (0y) | ||
| Sherry Lynn Schied | Registered representative | Feb 2026 (0y) | ||
| Sheryl Lynn Dutcher | Registered representative | Feb 2026 (0y) | ||
| Shilpa Bishwakarma | Registered representative | Feb 2026 (0y) | ||
| Shirin Rastegar | Registered representative | CFP | Feb 2026 (0y) | |
| Shirley Kay St Onge | Registered representative | Feb 2026 (0y) | ||
| Siara Charrel Montgomery | Registered representative | Feb 2026 (0y) | ||
| Sigrid Baysa Smith | Registered representative | Feb 2026 (0y) | ||
| Siobhan Rudacille | Registered representative | Feb 2026 (0y) | ||
| Soheil Mahdavian | Registered representative | Feb 2026 (0y) | ||
| Somalatha Kumar Bangalore | Registered representative | Feb 2026 (0y) | ||
| Sonia Lyn Holz Smith | Registered representative | Feb 2026 (0y) | ||
| Sophia Shi Mylchreest | Registered representative | Feb 2026 (0y) | ||
| Spencer Austin Giddings | Registered representative | Feb 2026 (0y) | ||
| Spencer Curtis Wiese | Registered representative | Feb 2026 (0y) | ||
| Stacy Marie Uptain | Registered representative | Feb 2026 (0y) | ||
| Stephani Dyan Skidmore | Registered representative | Feb 2026 (0y) | ||
| Stephanie Lee Vandenburg | Registered representative | Feb 2026 (0y) | ||
| Stephanie Theresa Bruns | Registered representative | Feb 2026 (0y) | ||
| Stephen Huang | Registered representative | Feb 2026 (0y) | ||
| Stephen Joseph Mc Kinstry | Registered representative | Feb 2026 (0y) | ||
| Stephen Kenneth Best | Registered representative | Feb 2026 (0y) | ||
| Stephen Michael Spence | Registered representative | Feb 2026 (0y) | ||
| Steven Wayne Be Low | Registered representative | Feb 2026 (0y) | ||
| Stuart Michael Glenn | Registered representative | Feb 2026 (0y) | ||
| Subha Shankar | Registered representative | Feb 2026 (0y) | ||
| Suchit Rohit Vyas | Registered representative | Feb 2026 (0y) | ||
| Sue Park Yoon | Registered representative | Feb 2026 (0y) | ||
| Sukhmoney Kaur Sran | Registered representative | Feb 2026 (0y) | ||
| Sumi Kim Leusca | Registered representative | Feb 2026 (0y) | ||
| Susan Elizabeth Grosshans | Registered representative | Feb 2026 (0y) | ||
| Susan Marie Olson | Registered representative | Feb 2026 (0y) | ||
| Suzette Emiko Yoshitake | Registered representative | Feb 2026 (0y) | ||
| Takeshi Mark Yamada | Registered representative | Feb 2026 (0y) | ||
| Tami Elaine Wattnem | Registered representative | Feb 2026 (0y) | ||
| Tamim Naemi | Registered representative | Feb 2026 (0y) | ||
| Tammy Lynn Curmano | Registered representative | Feb 2026 (0y) | ||
| Tanner Randall Gleave | Registered representative | Feb 2026 (0y) | ||
| Tanya Lee Beach | Registered representative | Feb 2026 (0y) | ||
| Tanya Michelle Schlingman | Registered representative | Feb 2026 (0y) | ||
| Tara Lynn O'connor | Registered representative | Feb 2026 (0y) | ||
| Tatsiana Pavlovna Krause | Registered representative | Feb 2026 (0y) | ||
| Ted James Cigrand | Registered representative | Feb 2026 (0y) | ||
| Teresa Ann Lucas | Registered representative | Feb 2026 (0y) | ||
| Teresa Lynn De La Torre | Registered representative | Feb 2026 (0y) | ||
| Terrence Earl Simpson | Registered representative | Feb 2026 (0y) | ||
| Terri Shaw Whobrey | Registered representative | Feb 2026 (0y) | ||
| Terry Clifton Lewis | Registered representative | Feb 2026 (0y) | ||
| Thai Doan | Registered representative | Feb 2026 (0y) | ||
| Theodore William Hartzler | Registered representative | Feb 2026 (0y) | ||
| Thomas Anthony Almanzo | Registered representative | Feb 2026 (0y) | ||
| Thomas Dominic Hooghkirk | Registered representative | Feb 2026 (0y) | ||
| Thomas James Fahrenhorst | Registered representative | Feb 2026 (0y) | ||
| Thomas John Michelotti | Registered representative | Feb 2026 (0y) | ||
| Thomas Joseph Melton | Registered representative | Feb 2026 (0y) | ||
| Thomas Michael Wiseman | Registered representative | Feb 2026 (0y) | ||
| Thomas Patrick Casart | Registered representative | Feb 2026 (0y) | ||
| Thomas Peter Schmidtke | Registered representative | Feb 2026 (0y) | ||
| Thomas Robert Edwards | Registered representative | Feb 2026 (0y) | ||
| Thomas Sheehy | Registered representative | Feb 2026 (0y) | ||
| Thong Nguyen Luu | Registered representative | Feb 2026 (0y) | ||
| Thuy Truc Huong Diep | Registered representative | Feb 2026 (0y) | ||
| Tiffany Rachel Smith | Registered representative | Feb 2026 (0y) | ||
| Timothy Brian Maguire | Registered representative | Feb 2026 (0y) | ||
| Timothy Cecil Ivey | Registered representative | Feb 2026 (0y) | ||
| Timothy David Jeffers | Registered representative | Feb 2026 (0y) | ||
| Timothy David Williamson | Registered representative | Feb 2026 (0y) | ||
| Timothy James Henderson | Registered representative | Feb 2026 (0y) | ||
| Timothy Patrick Johnston | Registered representative | Feb 2026 (0y) | ||
| Tina Marie Preyer | Registered representative | Feb 2026 (0y) | ||
| Tina V Vu | Registered representative | Feb 2026 (0y) | ||
| Todd William Nichols | Registered representative | Feb 2026 (0y) | ||
| Tom Doo Choi | Registered representative | Feb 2026 (0y) | ||
| Torr Joshua Campitelli | Registered representative | Feb 2026 (0y) | ||
| Traci Ann Oliver | Registered representative | Feb 2026 (0y) | ||
| Tracy Kaufman Weibel | Registered representative | Feb 2026 (0y) | ||
| Tran Bao Pham | Registered representative | Feb 2026 (0y) | ||
| Travis Earl Lee Sanders | Registered representative | Feb 2026 (0y) | ||
| Trevor William Long | Registered representative | Feb 2026 (0y) | ||
| Trisha Ann Merk | Registered representative | Feb 2026 (0y) | ||
| Troy Carlton Emeott | Registered representative | Feb 2026 (0y) | ||
| Tyler Blake Brasfield | Registered representative | Feb 2026 (0y) | ||
| Tyler Dean Schaper | Registered representative | Feb 2026 (0y) | ||
| Tyler Garrett Pettey | Registered representative | Feb 2026 (0y) | ||
| Tyler John David | Registered representative | Feb 2026 (0y) | ||
| Tyler John Wood | Registered representative | Feb 2026 (0y) | ||
| Tyler Michael Baron | Registered representative | Feb 2026 (0y) | ||
| Tyler Michael Robin | Registered representative | Feb 2026 (0y) | ||
| Tyler Siv | Registered representative | Feb 2026 (0y) | ||
| Tysen Jeffrey Gray | Registered representative | Feb 2026 (0y) | ||
| Tyson Van Scofield | Registered representative | Feb 2026 (0y) | ||
| Valentino Alfonzo Valdez | Registered representative | Feb 2026 (0y) | ||
| Verna Base | Registered representative | Feb 2026 (0y) | ||
| Veronica Nuno | Registered representative | Feb 2026 (0y) | ||
| Victor Yip | Registered representative | Feb 2026 (0y) | ||
| Vincent Maimboti Dhliwayo | Registered representative | Feb 2026 (0y) | ||
| Vincenzo D Cirolia | Registered representative | Feb 2026 (0y) | ||
| Vitalia Melman | Registered representative | Feb 2026 (0y) | ||
| Vitaliy Nikolayevich Yakimyuk | Registered representative | Feb 2026 (0y) | ||
| Vladimir Victorio | Registered representative | Feb 2026 (0y) | ||
| Wayne Allan Hanson | Registered representative | Feb 2026 (0y) | ||
| William Adrian Thompson | Registered representative | Feb 2026 (0y) | ||
| William Garland Lacey | Registered representative | Feb 2026 (0y) | ||
| William James Cortus | Registered representative | Feb 2026 (0y) | ||
| William Jay Wildman | Registered representative | Feb 2026 (0y) | ||
| William Joshua Lee | Registered representative | Feb 2026 (0y) | ||
| William Lawrence Faith | Registered representative | Feb 2026 (0y) | ||
| William Neumann Thomas | Registered representative | Feb 2026 (0y) | ||
| William Paul West | Registered representative | Feb 2026 (0y) | ||
| William Rodrick Carrillo | Registered representative | Feb 2026 (0y) | ||
| William Scott Wiley | Registered representative | Feb 2026 (0y) | ||
| Xiaodong Miao | Registered representative | Feb 2026 (0y) | ||
| Xiping Tang | Registered representative | Feb 2026 (0y) | ||
| Zachary Alan Karason | Registered representative | Feb 2026 (0y) | ||
| Zachary Jonathan Ross | Registered representative | Feb 2026 (0y) | ||
| Zachary Loren Zigmond | Registered representative | Feb 2026 (0y) | ||
| Zachary Michael De Cou | Registered representative | Feb 2026 (0y) | ||
| Zhanna Fish | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Wayne Cady | Registered representative | Feb 2026 (0y) | ||
| Andrew Louis Buschle | Registered representative | Feb 2026 (0y) | ||
| James Timothy Tyrrell | Registered representative | Feb 2026 (0y) | ||
| Jeffrey Francis Smith | Registered representative | Feb 2026 (0y) | ||
| Joseph Henry Westendorf | Registered representative | Feb 2026 (0y) | ||
| Keith Nader Fakhoury | Registered representative | Feb 2026 (0y) | ||
| Marcia Virginia Nehall | Registered representative | Feb 2026 (0y) | ||
| Natalie Medina | Registered representative | Feb 2026 (0y) | ||
| Rada G Hayes | Registered representative | Feb 2026 (0y) | ||
| Sarah Christine Schmitz | Registered representative | Feb 2026 (0y) | ||
| Cara Marie Russell Zambella | Registered representative | Feb 2026 (0y) | ||
| Nicholas John Strand | Registered representative | Feb 2026 (0y) | ||
| Randall Vance Van Meter | Registered representative | Feb 2026 (0y) | ||
| Tyler James Morin | Registered representative | Feb 2026 (0y) | ||
| Matthew Donald Anderson | Registered representative | Feb 2026 (0y) | ||
| Tai Git Wong | Registered representative | Feb 2026 (0y) | ||
| Forrest Paul Macierez | Registered representative | Mar 2026 (0y) | ||
| Bryce Montgomery Duncan | Registered representative | Mar 2026 (0y) | ||
| Ashli Jean Cooper | Registered representative | Mar 2026 (0y) | ||
| David Jara | Registered representative | Mar 2026 (0y) | ||
| Maria Christina Bridgeford | Registered representative | Mar 2026 (0y) | ||
| Nan Liu | Registered representative | Mar 2026 (0y) | ||
| Nicholas James Dykstra | Registered representative | Mar 2026 (0y) | ||
| Peter Armand Norehad | Registered representative | Mar 2026 (0y) | ||
| Brooke Noele Forsberg | Registered representative | Mar 2026 (0y) | ||
| Christian Anthony Wersel | Registered representative | Mar 2026 (0y) | ||
| Erik Andrew Johnson | Registered representative | Mar 2026 (0y) | ||
| Heather Lynn Ristanovic | Registered representative | Mar 2026 (0y) | ||
| Daniel Bennett Goldman Levine | Registered representative | Mar 2026 (0y) | ||
| Jacob Baptiste Thro | Registered representative | Mar 2026 (0y) | ||
| Kelle Elizabeth Tufte | Registered representative | Mar 2026 (0y) | ||
| Raymond Kyle Lovelace | Registered representative | Mar 2026 (0y) | ||
| Mary Therese Ryan | Registered representative | Apr 2026 (0y) | ||
| Dale Russell Smith | Registered representative | Apr 2026 (0y) | ||
| Cameron Blake Mc Manus | Registered representative | Apr 2026 (0y) | ||
| Braden Michael Lachecki | Registered representative | Apr 2026 (0y) | ||
| Monisha R Mapp | Registered representative | Apr 2026 (0y) | ||
| Engadi Maritza Pineda | Registered representative | Apr 2026 (0y) | ||
| Robert Christopher Holt | Registered representative | Apr 2026 (0y) | ||
| Kevin Thomas Hopperton | Registered representative | Apr 2026 (0y) | ||
| Nicholas Wayne Lyman | Registered representative | Apr 2026 (0y) | ||
| Diego Diaz | Registered representative | Apr 2026 (0y) | ||
| Rogelio Alejandro Cruz Mendez | Registered representative | Apr 2026 (0y) | ||
| Eric Richard Strean | Registered representative | Apr 2026 (0y) | ||
| Patricia Ann Brondyke | Registered representative | Apr 2026 (0y) | ||
| Jordan Jeffrey Linkowski | Registered representative | Apr 2026 (0y) | ||
| Sheena Marie Rasmussen | Registered representative | Apr 2026 (0y) | ||
| John Lim Cu | Registered representative | Apr 2026 (0y) | ||
| Amy Elizabeth Lininger | Registered representative | Apr 2026 (0y) | ||
| Katie Louise Latour | Registered representative | May 2026 (0y) | ||
| Lucas Riley Crawford | Registered representative | May 2026 (0y) | ||
| Marina Adamson | Registered representative | May 2026 (0y) | ||
| Ricky Nguyen | Registered representative | May 2026 (0y) | ||
| Eric Wolter Bischoff | Registered representative | May 2026 (0y) | ||
| Tyler Mathew Demge | Registered representative | May 2026 (0y) | ||
| Andrew David O'neill | Registered representative | May 2026 (0y) | ||
| Corey Jackson Barker | Registered representative | May 2026 (0y) | ||
| Christian R Moore | Registered representative | Jun 2026 (0y) | ||
| Joseph Matthew Suarez | Registered representative | Jun 2026 (0y) | ||
| Nyisha Patrice Bell | Registered representative | Jun 2026 (0y) | ||
| William Andrew Kettinger | Registered representative | Jun 2026 (0y) | ||
| Joseph Walter Beres | Registered representative | Jun 2026 (0y) | ||
| Kim Huong Sliger | Registered representative | Jun 2026 (0y) | ||
| Sean Daniel Alter | Registered representative | Jun 2026 (0y) | ||
| Christopher Jon Curran | Registered representative | Jun 2026 (0y) | ||
| Nathan William Dougall | Registered representative | Jun 2026 (0y) | ||
| Robert Francis Mc Intyre | Registered representative | Jun 2026 (0y) | ||
| Christopher Jon Rosenau | Registered representative | Jun 2026 (0y) | ||
| Vinnie Hui | Registered representative | Jun 2026 (0y) | ||
| Andrew John Hartsman | Registered representative | Jun 2026 (0y) | ||
| Heather Joye Noe | Registered representative | Jun 2026 (0y) | ||
| Frank Anthony Hernandez | Registered representative | Jun 2026 (0y) | ||
| Romeo Mortera | Registered representative | Jun 2026 (0y) | ||
| J Tyler Sidney Keith | Registered representative | Jun 2026 (0y) | ||
| Jeffrey Fay | Registered representative | CFP | Jun 2026 (0y) | |
| Niki Hondropoulos | Registered representative | Jun 2026 (0y) | ||
| Derek Sabo | Registered representative | Jul 2026 (0y) | ||
| Fernando Jose Rosales | Registered representative | Jul 2026 (0y) | ||
| Grant James Thomas | Registered representative | Jul 2026 (0y) | ||
| Natalia Bruno | Registered representative | Jul 2026 (0y) | ||
| Maxwell James Korte | Registered representative | Jul 2026 (0y) | ||
| Daniel Scott Willing | Registered representative | Jul 2026 (0y) | ||
| Maryam Kayvani | Registered representative | Jul 2026 (0y) | ||
| Adam Lundy | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| U.S. Bancorp | Sole Member | Jun 2023 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 2.64 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Criminal · Item 11.A(2)
as of Jun 10, 2024
Event Detail: A CRIMINAL INFORMATION WAS FILED ON FEBRUARY 15, 2018, IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK CHARGING U.S. BANCORP ("USB") WITH (1) ONE COUNT OF WILFULLY FAILING TO MAINTAIN AN ADEQUATE ANTI-MONEY LAUNDERING PROGRAM, IN VIOLATION OF 31 U.S.C. §§ 5318(H) AND 5322(A), AND (2) ONE COUNT OF WILFULLY FAILING TO FILE A SUSPICIOUS ACTIVITY REPORT, IN VIOLATION OF 31 U.S. C. §§ 5318(G) AN 5322(A) AND 31 C.F.R. § 1020.320(A) (THE "INFORMATION"). USB WAIVED INDICTMENT, AGREED TO THE FILING OF THE INFORMATION, AND ACCEPTED AND ACKNOWLEDGED RESPONSIBILITY FOR THE ACTS OF ITS OFFICERS AND EMPLOYEES AS SET FORTH IN THE ACCOMPANYING STATEMENT OF FACTS. A PLEA WAS NOT ENTERED IN RESPECT OF ANY OF THE CHARGES. Status: Final Disposition: CHARGES WERE DISMISSED BY THE UNITED STATES DISTRICT COURT - SOUTHERN DISTRICT OF NEW YORK ON FEBRUARY 13, 2020. ON FEBRUARY 15, 2018, USB ENTERED INTO A DEFERRED PROSECUTION AGREEMENT ("DPA") WITH THE OFFICE OF THE UNITED STATES ATTORNEY FOR THE SOUTHERN DISTRICT OF NEW YORK ("DOJ"). PROSECUTION WAS DEFERRED FOR TWO YEARS FROM THE DATE OF THE DPA. AS PART OF THE DPA, USB SETTLED ANY AND ALL CRIMINAL CLAIMS FOR THE SUM OF $528,000,000, LESS THE AMOUNT OF ANY CIVIL MONEY PENALTY PAID BY USB TO THE OFFICE OF THE COMPTROLLER OF THE CURRENCY IN CONNECTION WITH ITS CONCURRENT SETTLEMENT, PAID TO THE DOJ ON FEBRUARY 15, 2018. Summary: 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 IDENTIFY SUSPICIOUS ACTIVITY FLOWING THROUGH USB DUE TO A FAILURE TO PROVIDE ADEQUATE BSA/AML STAFFING AND RESOURCES. FROM OCTOBER 2011 TO NOVEMBER 2013, USB, ACCORDING TO THE DPA, ALSO WILLFULLY FAILED TO TIMELY REPORT SUSPICIOUS TRANSACTIONS OF A PARTICULAR CLIENT INVOLVING PROCEEDS FROM AN ILLEGAL PAYDAY LENDING SCHEME. PURSUANT TO THE DPA, USB AGREED TO PAY A CRIMINAL FINE, CONTINUE ITS ONGOING EFFORT TO IMPLEMENT AND MAINTAIN AN ADEQUATE BSA/AML PROGRAM, PROVIDE SEMI-ANNUAL REPORTS TO THE DOJ OF REMEDIAL CHANGES TO USB'S BSA/AML COMPLIANCE PROGRAM, AND CONTINUE TO COOPERATE WITH GOVERNMENT AGENCIES REGARDING RELATED MATTERS FOR TWO YEARS (UNLESS THE DPA IS OTHERWISE EXTENDED).
Regulatory · Item 11.D(2), 11.D(4)
as of Jun 10, 2024
Allegations: 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 IMPLEMENTING REGULATIONS, SPECIFICALLY 12 C.F.R. § 22.3(A). Status: Final Sanction Detail: THE TOTAL FINE ISSUED BY THE OCC AGAINST MUFG UNION BANK, N.A., WAS $109,667.00.
Regulatory · Item 11.D(2), 11.D(4)
as of Jun 10, 2024
Allegations: 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 CFR PART 30, APPENDIX B. Status: Final Sanction Detail: THE OCC ISSUED THE ABOVE-REFERENCED CEASE AND DESIST ORDER AGAINST MUFG UNION BANK, N.A.
Regulatory · Item 11.E(2)
as of Jun 10, 2024
Allegations: 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) TRANSACTIONS. IN ADDITION, FROM 1/2016 THROUGH 9/2019, UBIS FAILED TO ESTABLISH AND MAINTAIN A REASONABLY DESIGNED SYSTEM AND WSPS FOR THE SURVEILLANCE OF RATES OF VA EXCHANGES. UBIS NEITHER ADMITTED NOR DENIED THOSE ALLEGATIONS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $100,000.
Regulatory · Item 11.E(2)
as of Jun 10, 2024
Allegations: 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 CLAIMS ARISING OUT OF THE TERMINATION OF A FORMER UBIS REGISTERED REPRESENTATIVE. FINRA NOTES THAT THE ARBITRATION PANEL AWARDED CLAIMANT SANCTIONS AND ATTORNEY FEES OF $35,000, WHICH UBIS SUBSEQUENTLY PAID. CLAIMANT'S SUBSTANTIVE ARBITRATION CLAIMS WERE ULTIMATELY DENIED AFTER THE HEARING. UBIS NEITHER ADMITTED NOR DENIED THE ALLEGATIONS. Status: Final Sanction Detail: UBIS WAS CENSURED AND FINED $75,000. NO PORTION OF THE PENALTY WAS WAIVED. Summary: UBIS AND FINRA ENTERED INTO AN AWC ON JUNE 6, 2023. UBIS WAS CENSURED AND FINED $75,000.
Regulatory · Item 11.D(2), 11.D(4)
as of Jun 10, 2024
Allegations: 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 LAUNDERING ("BSA/AML") AND OFAC RULES AND REGULATIONS AND WERE TIMELY REPORTED IN RESPONSE TO INQUIRIES BY THE FEDERAL RESERVE BANK OF MINNEAPOLIS ("RESERVE BANK"). Status: Final Sanction Detail: PURSUANT TO AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY (THE "BOARD ORDER"), THE FEDERAL RESERVE ORDERED USB TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $15,000,000. Summary: IN ADDITION TO PAYMENT OF THE CIVIL MONEY PENALTY, THE BOARD ORDER REQUIRES THAT USB AND/OR THE AGREEMENT CORPORATION SUBMIT TO THE RESERVE BANK WRITTEN PLANS REGARDING ITS BSA/AML AND OFAC COMPLIANCE AND BOARD OVERSIGHT THEREOF. THE BOARD ORDER ALSO REQUIRES THAT USB ACT AS A SOURCE OF STRENGTH TO U.S. BANK, INCLUDING TAKING STEPS TO ENSURE U.S. BANK COMPLIES WITH ANY SUPERVISORY ACTION TAKEN AGAINST U.S. BANK BY ITS REGULATORS.
Regulatory · Item 11.D(1), 11.D(5)
as of Jun 10, 2024
Allegations: 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 AFTER DETERMINING THAT FACTS ALLEGED IN FINRA DISCIPLINARY ACTIONS DATED DECEMBER 23, 2013, MAY 5, 2021, AND JUNE 6, 2023, AND FAILURE TO DISCLOSE THE DECEMBER 23, 2013 FINRA DISCIPLINARY ACTION IN ITS LICENSE APPLICATION WOULD HAVE CONSTITUTED GROUNDS FOR DENIAL OF UBIS'S APPLICATION FOR AN UNRESTRICTED LICENSE TO SELL LIFE INSURANCE PURSUANT TO CIC SECTION 1668(E). THE CDI ALSO DETERMINED THAT ITS ALLEGATION THAT UBIS KNOWINGLY OR WILLFULLY FAILED TO DISCLOSE THE DECEMBER 23, 2013 FINRA DISCIPLINARY ACTION IN ITS LICENSE APPLICATION CONSTITUTED GROUNDS FOR DENIAL OF ITS APPLICATION PURSUANT TO CIC SECTION 1668(H). TO SETTLE THE MATTER, AND WITHOUT ADMITTING OR DENYING THE ALLEGATIONS MADE BY THE CDI, UBIS PAID A FINE AND COSTS OF $5,268.00 AND AGREED TO THE TERMS OF A SPECIAL NOTICE OF DEFENSE SUBMITTED TO THE CDI ON JUNE 22, 2023. THE SPECIAL NOTICE OF DEFENSE WAS APPROVED AND AGREED TO BY THE CDI ON JULY 5, 2023. Status: Final Sanction Detail: UBIS PAID A FINE AND COSTS OF $5268.00 AND AGREED TO THE TERMS OF A SPECIAL NOTICE OF DEFENSE SUBMITTED TO THE CDI ON JUNE 22, 2023. THE SPECIAL NOTICE OF DEFENSE WAS APPROVED AND AGREED TO BY THE CDI ON JULY 5, 2023. Summary: TO SETTLE THE MATTER, AND WITHOUT ADMITTING OR DENYING THE ALLEGATIONS MADE BY THE CDI, UBIS PAID A FINE AND COSTS OF $5268.00 AND AGREED TO THE TERMS OF A SPECIAL NOTICE OF DEFENSE SUBMITTED TO THE CDI ON JUNE 22, 2023. THE SPECIAL NOTICE OF DEFENSE WAS APPROVED AND AGREED TO BY THE CDI ON JULY 5, 2023. THE TERMS INCLUDED ACCEPTANCE OF A RESTRICTED LICENSE AND UNDERTAKING NOT TO VIOLATE THE LAW.
Regulatory · Item 11.D(1), 11.D(2), 11.D(4)
as of Jun 10, 2024
Allegations: 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. Status: Final Sanction Detail: ON MAY 8, 2023, MUFG UNION BANK, NATIONAL ASSOCIATION PAID THE CIVIL MONEY PENALTY TO THE OFFICE OF THE U.S. TREASURY AS REQUIRED UNDER THE CONSENT ORDER. Summary: ON MAY 10, 2023, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ISSUED A CONSENT ORDER AND ASSESSED A $15 MILLION CIVIL MONEY PENALTY (THE "CMP") AGAINST MUFG UNION BANK, NATIONAL ASSOCIATION (WHICH MERGED INTO U.S. BANK NATIONAL ASSOCIATION ON MAY 26, 2023) FOR ENGAGING IN DECEPTIVE PRACTICES IN VIOLATION OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT WITH RESPECT TO THE MARKETING AND FULFILLMENT OF CERTAIN RETAIL PRODUCTS AND SERVICES. THE CMP HAS BEEN PAID, AND APPROPRIATE REMEDIAL ACTIONS ARE BEING TAKEN TO CORRECT THESE VIOLATIONS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Other fees
- • 12B-1, NETWORKING, SHAREHOLDER SERV,PRODUCT PARTNER ARRANGEMENTS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $1.8B (100% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 31, 2026.
View current Form ADV (SEC/IAPD) ↗