Austin Stewart Lay

U.S. Bancorp Advisors, LLC

Independence, KY

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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

Authority	Category	Status	Date
TX	RA	APPROVED	2026-03-27
OH	RA	APPROVED	2026-02-13

TX RA
APPROVED

Since 2026-03-27
OH RA
APPROVED

Since 2026-02-13

Branch Locations

5262 Madison Pike, Independence, KY 41051 • 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

Organization	City	State	From	To
Touchstone Securities	Cincinnati	OH	07/2017	05/2021
Ifs Financial Services	Cincinnati	OH	07/2017	05/2021
U.S. Bank	Hamilton	OH	07/2014	07/2017
U.S. Bancorp Investments, Inc.	Cincinnati	OH	05/2021	01/2026
U.S. Bank	Cincinnati	OH	05/2021	01/2026
U.S. Bancorp Investments, Inc.	Independence	KY	01/2026	02/2026
U.S. Bancorp Advisors, Llc	Independence	KY	02/2026	Present

07/2017 → 05/2021

Touchstone Securities

Cincinnati, OH
07/2017 → 05/2021

Ifs Financial Services

Cincinnati, OH
07/2014 → 07/2017

U.S. Bank

Hamilton, OH
05/2021 → 01/2026

U.S. Bancorp Investments, Inc.

Cincinnati, OH
05/2021 → 01/2026

U.S. Bank

Cincinnati, OH
01/2026 → 02/2026

U.S. Bancorp Investments, Inc.

Independence, KY
02/2026 → Present

U.S. Bancorp Advisors, Llc

Independence, KY

Previous Registrations

2025-07-09 → 2026-02-13

U.S. Bancorp Investments, Inc.

Independence, KY

Saint Paul, MN

Fort Mitchell, KY

Cincinnati, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-07-07
S63	Uniform Securities Agent State Law Examination	2017-10-26

S65 Uniform Investment Adviser Law Examination

2025-07-07
S63 Uniform Securities Agent State Law Examination

2017-10-26

Other Names

Austin Lay

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.

AMERIPRISE FINANCIAL SERVICES, LLC

FIFTH THIRD SECURITIES, INC.

BARNES DENNIG PRIVATE WEALTH MANAGEMENT, LLC

J.P. MORGAN SECURITIES LLC

INDEPENDENT FINANCIAL PARTNERS

HANNEGAN WEALTH MANAGEMENT, LLC

LPL FINANCIAL LLC

Other Investors

JOEL ALFRED BERGANTINO

JOHN LEWIS HOFFMAN

THOMAS JEFFREY BARRICK

Kelly Meyers Malatesta

JESSICA L. LUCAS

GEORGE SIDNEY SPARKS

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Independence, KY

STATE FARM INVESTMENT MANAGEMENT CORP. · Independence, KY

AMERIPRISE FINANCIAL SERVICES, LLC · Florence, KY

STATE FARM INVESTMENT MANAGEMENT CORP. · Taylor Mill, KY

FIFTH THIRD SECURITIES, INC. · Walton, KY

BARNES DENNIG PRIVATE WEALTH MANAGEMENT, LLC · CRESTVIEW HILLS, KY

J.P. MORGAN SECURITIES LLC · Walton, KY

INDEPENDENT FINANCIAL PARTNERS · FLORENCE, KY

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