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Investment Adviser Firm Summary
U.S. BANCORP ADVISORS, LLC ( CRD # 14455/SEC#:801-70084,8-30706 )
MARKET INVESTMENT SERVICES CORPORATION, UNIONBANC INVESTMENT SERVICES, LLC, UNION BANK OF CALIFORNIA NA, UBOC INVESTMENT SERVICES, INC., UB INVESTMENT SERVICES, INC.…
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved8/14/2009
CaliforniaTerminated8/28/2009
WashingtonTerminated8/24/2009
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama2/14/2014
Alaska3/30/2011
Arizona3/9/2010
Arkansas3/4/2015
California12/20/2004
Colorado3/9/2010
Connecticut2/2/2012
Delaware3/4/2015
District of Columbia10/11/2013
Florida3/11/2010
Georgia2/2/2015
Hawaii4/1/2013
Idaho1/10/2013
Illinois2/6/2012
Indiana3/4/2015
Iowa9/30/2014
Kansas6/2/2014
Kentucky3/4/2015
Louisiana5/2/2014
Maine3/4/2015
Maryland3/9/2010
Massachusetts2/2/2012
Michigan8/22/2014
Minnesota3/30/2012
Mississippi3/4/2015
Missouri2/2/2012
Montana3/4/2015
Nebraska3/9/2010
Nevada3/30/2011
New Hampshire6/2/2014
New Jersey5/1/2012
New Mexico4/1/2013
New York6/2/2014
North Carolina2/14/2014
North Dakota3/4/2015
Ohio3/30/2011
Oklahoma4/15/2013
Oregon8/14/2009
Pennsylvania3/30/2012
Rhode Island3/4/2015
South Carolina3/4/2015
South Dakota3/4/2015
Tennessee2/2/2015
Texas3/24/2010
Utah9/15/2014
Vermont3/4/2015
Virginia10/2/2014
Washington8/14/2009
West Virginia3/4/2015
Wisconsin4/15/2013
Wyoming3/30/2018
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.