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

Branch Locations

14475 Ventura Blvd, Sherman Oaks, CA 91423 • United States

10100 Riverside Dr, Toluca Lake, CA 91602 • 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
Jp Morgan Chase Bank Na Sylmar CA 05/2010 11/2016
J.P. Morgan Securities Llc Sylmar CA 10/2012 11/2016
U.S. Bancorp Investments, Inc. Sherman Oaks CA 11/2016 02/2026
U.S. Bancorp Advisors, Llc Sherman Oaks CA 02/2026 Present
Previous Registrations
  • 2016-11-07 → 2026-02-13
    Sherman Oaks, CA
    Northridge, CA
    Toluca Lake, CA
    Toluca Lake, CA
    Los Angeles, CA
    West Los Angeles, CA
    Sylmar, CA
    Simi Valley, CA
    Santa Clarita, CA
    Simi Valley, CA
  • 2012-10-01 → 2016-11-15
    Sun Valley, CA
    Sylmar, CA
    Sherman Oaks, CA
  • 2012-04-05 → 2012-10-01
    Chase Investment Services Corp.
    Sylmar, CA
    Sun Valley, CA
Other Businesses

1) Rental Home; investment-related; Panorama City, CA; rental home; Owner; 2/1/2020; 0 hours/month; 0 hours/trading; owner of the property. 2) Doods & Doodettes; not investment-related; Simi Valley, CA; Pet Services; Owner; 3/1/2021; 1 hours/month; 0 hours/trading; owner, but partner is running entire business.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-04-03
S63 Uniform Securities Agent State Law Examination 2010-06-01
  • S66 Uniform Combined State Law Examination
    2012-04-03
  • S63 Uniform Securities Agent State Law Examination
    2010-06-01
Other Names
  • Ricky Garcia
  • Ricardo Garcia

View on SEC IAPD

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