Katherine Marie Hooper

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
CA	RA	APPROVED	2026-02-13

CA RA
APPROVED

Since 2026-02-13

Branch Locations

4100 Newport Place, Newport Beach, CA 92660 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Rolling Meadows	IL	02/2016	12/2016
Bank Of America, N.A.	Rolling Meadows	IL	04/2016	12/2016
U.S. Bank	Newport Beach	CA	12/2016	02/2026
U.S. Bancorp Investments, Inc.	Newport Beach	CA	12/2016	02/2026
U.S. Bancorp Advisors, Llc	Newport Beach	CA	02/2026	Present

02/2016 → 12/2016

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rolling Meadows, IL
04/2016 → 12/2016

Bank Of America, N.A.

Rolling Meadows, IL
12/2016 → 02/2026

U.S. Bank

Newport Beach, CA
12/2016 → 02/2026

U.S. Bancorp Investments, Inc.

Newport Beach, CA
02/2026 → Present

U.S. Bancorp Advisors, Llc

Newport Beach, CA

Previous Registrations

2017-01-03 → 2026-02-13

U.S. Bancorp Investments, Inc.

Geneva, IL

Naperville, IL

Newport Beach, CA
2016-03-31 → 2016-12-22

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-03-30

S66 Uniform Combined State Law Examination

2016-03-30

Other Names

Katherine Nyman
Katherine Marie Folena
Kate Folena
Katherine M Nyman
Katherine Marie Nyman

View on SEC IAPD

Current Employers

U.S. Bancorp Advisors, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews