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Current Employers
U.S. Bancorp Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2014-05-12
WA RA APPROVED 2013-10-31
  • TX RA
    APPROVED
    Since 2014-05-12
  • WA RA
    APPROVED
    Since 2013-10-31

Branch Locations

1420 5Th Ave, Seattle, WA 98101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
U.S. Bancorp Advisors, Llc Seattle WA 10/2013 Present
Previous Registrations
  • 2009-10-23 → 2013-09-30
    Seattle, WA
    Seattle, WA
  • 2007-11-19 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Seattle, WA
    Seattle, WA
  • 2006-10-11 → 2007-11-21
    First Horizon Advisors, Inc.
    Seattle, WA
    Seattle, WA
  • 2004-05-10 → 2006-03-02
    Banc Of America Investment Services, Inc.
    Bellevue, WA
Other Businesses

1 - Rental Property; Investment-yes; Lake Stevens, WA; rental property; sole proprietorship; owner; 8/2013; 1 hours/month; 0 hours/trading; manage rental property. 2 - Rental Property; Investment-yes; Kirkland, WA, rental property; sole proprietorship; owner; 01/2012; 1 hours/month; 0 hours/trading; manage rental property.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-07
S63 Uniform Securities Agent State Law Examination 2002-06-12
  • S66 Uniform Combined State Law Examination
    2004-05-07
  • S63 Uniform Securities Agent State Law Examination
    2002-06-12
Other Names
  • Robert G Forys

View on SEC IAPD

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