Darlene Flores Swatik

Current Employers

U.S. Bancorp Advisors, Llc

60 Livingston Ave Ep-Mn-N2Wc, Saint Paul, MN 55107 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-01-07
CA	RA	APPROVED	2009-08-05

TX RA
APPROVED

Since 2021-01-07
CA RA
APPROVED

Since 2009-08-05

Branch Locations

21201 Hawthorne Blvd, Torrance, CA 90503 • United States

4350 Pacific Coast Hwy, Torrance, CA 90505 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
U.S. Bancorp Advisors, Llc	Torrance	CA	08/2009	Present

08/2009 → Present

U.S. Bancorp Advisors, Llc

Torrance, CA

Previous Registrations

2009-05-02 → 2009-07-31

Chase Investment Services Corp.

Torrance, CA

Manhattan Beach, CA
2004-12-03 → 2009-05-02

Wamu Investments, Inc.

Manhattan Beach, CA

Torrance , CA

Palos Verdes, CA

Rolling Hills, CA

Torrance, CA
2004-04-29 → 2004-11-16

Citicorp Investment Services

Lakewood, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-04-28
S63	Uniform Securities Agent State Law Examination	2001-07-27

S65 Uniform Investment Adviser Law Examination

2004-04-28
S63 Uniform Securities Agent State Law Examination

2001-07-27

Designations

Other Names

Darlene Flores
Darlene Flores

View on SEC IAPD

Current Employers

U.S. Bancorp Advisors, Llc

Disclosures

Employment History

Previous Registrations

Exams

Designations

Other Names

Other Firms

Other Investors

Other Offices

Reviews