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Joel Richard Schwartz

U.S. Bancorp Advisors, LLC

Minneapolis, MN

Saint Paul, MN

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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
MN RA APPROVED 2026-02-13
TX RA APPROVED_RES 2026-02-13
  • MN RA
    APPROVED
    Since 2026-02-13
  • TX RA
    APPROVED_RES
    Since 2026-02-13

Branch Locations

800 Nicollet Mall, Minneapolis, MN 55402 • United States

60 Livingston Ave, Saint Paul, MN 55107 • 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 Investments, Inc. Minneapolis MN 09/2010 02/2026
U.S. Bancorp Advisors, Llc Minneapolis MN 02/2026 Present
Previous Registrations
  • 2010-11-22 → 2026-02-13
    U.S. Bancorp Investments, Inc.
    Saint Paul, MN
    Saint Paul, MN
    Minneapolis, MN
    Minneapolis, MN
    Minneapolis, MN
    Saint Paul, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-18
S65 Uniform Investment Adviser Law Examination 1999-02-22
S63 Uniform Securities Agent State Law Examination 1994-02-18
  • S66 Uniform Combined State Law Examination
    2010-11-18
  • S65 Uniform Investment Adviser Law Examination
    1999-02-22
  • S63 Uniform Securities Agent State Law Examination
    1994-02-18

View on SEC IAPD

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