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Michael Craig Forgea

U.S. Bancorp Advisors, LLC

Santa Barbara, CA

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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
  • CA RA
    APPROVED
    Since 2026-02-13

Branch Locations

24 E Carrillo St, Santa Barbara, CA 93101 • 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
Unionbanc Investment Services Santa Barbara CA 03/2013 06/2023
U.S. Bancorp Investments, Inc. Santa Barbara CA 06/2023 02/2026
U.S. Bancorp Advisors, Llc Santa Barbara CA 02/2026 Present
Previous Registrations
  • 2023-06-16 → 2026-02-13
    U.S. Bancorp Investments, Inc.
    Santa Barbara, CA
    Los Angeles, CA
    San Francisco, CA
    Sacramento, CA
    Pleasanton, CA
  • 2013-03-20 → 2023-06-20
    U.S. Bancorp Advisors, Llc
    Santa Barbara, CA
    Santa Barbara, CA
    Palm Desert, CA
    Walnut Creek, CA
  • 2005-07-29 → 2012-01-17
    Ubs Financial Services Inc.
    Santa Barbara, CA
    Santa Barbara, CA
  • 2002-09-09 → 2005-07-20
    Ubs Asset Management (Us) Inc.
    Beverly Hills, CA
  • 1997-10-27 → 2002-05-14
    J. & W. Seligman & Co. Incorporated
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-27
S63 Uniform Securities Agent State Law Examination 1983-05-11
  • S65 Uniform Investment Adviser Law Examination
    1994-10-27
  • S63 Uniform Securities Agent State Law Examination
    1983-05-11
Other Names
  • Mike Forgea

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
J.P. MORGAN SECURITIES LLC · SANTA BARBARA, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Santa Barbara, CA
KINGSWOOD WEALTH ADVISORS, LLC · Santa Barbara, CA
MORGAN STANLEY · Santa Barbara, CA
LPL FINANCIAL LLC · SANTA BARBARA, CA

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