Tracy Kaufman Weibel - Investment Adviser at U.S. BANCORP INVESTMENTS, INC.

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Detailed ReportReport

Tracy Kaufman Weibel

Tracy Lynne Kaufman

CRD#: 2674493

Investment Adviser

Broker

U.S. BANCORP INVESTMENTS, INC.CRD#: 17868

1175 Rosecrans St
San Diego, CA 92106

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

California 2/5/2024

California 12/16/2024

SRO Registrations

FINRA

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.

Current Registration(s)

U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)

1175 Rosecrans St, San Diego, CA 92106

Registered with this firm since 12/16/2024

U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)

1175 Rosecrans St, San Diego, CA 92106

Registered with this firm since 11/29/2023

Previous Registration(s)

th hidden text	th hidden text	Name	Location
B	03/29/2004 - 08/05/2013	UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455)	SAN DIEGO, CA
B	05/21/2001 - 01/04/2002	MONY SECURITIES CORPORATION (CRD#:4386)	NEW YORK, NY
B	06/26/2001 - 12/31/2001	TRUSTED SECURITIES ADVISORS CORP. (CRD#:24049)	NEW YORK, NY
B	03/03/1999 - 05/29/2001	WM FINANCIAL SERVICES, INC. (CRD#:599)	IRVINE, CA
B	03/26/1996 - 05/13/1997	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)	NEW YORK, NY
B	11/10/1995 - 01/22/1996	GOLDMAN, SACHS & CO. (CRD#:361)	NEW YORK, NY

UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455)

SAN DIEGO, CA

03/29/2004 - 08/05/2013

MONY SECURITIES CORPORATION (CRD#:4386)

NEW YORK, NY

05/21/2001 - 01/04/2002

TRUSTED SECURITIES ADVISORS CORP. (CRD#:24049)

NEW YORK, NY

06/26/2001 - 12/31/2001

WM FINANCIAL SERVICES, INC. (CRD#:599)

IRVINE, CA

03/03/1999 - 05/29/2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)

NEW YORK, NY

03/26/1996 - 05/13/1997

GOLDMAN, SACHS & CO. (CRD#:361)

NEW YORK, NY

11/10/1995 - 01/22/1996

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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.

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.