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Detailed Report
Thomas John Michelotti
Tom John Michelotti
CRD#: 3064966
IA
Investment Adviser
B
Broker
U.S. BANCORP INVESTMENTS, INC.CRD#: 17868 55 E Grand Ave
Fox Lake, IL 60020
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2001 (<1 year)2 FIRMS2001 - 2001 (<1 year)2 FIRMS2008 - 2008 (<1 year)2 FIRMS2010 - 2012 (2 years)2 FIRMS2014 - 2021 (7 years)2 FIRMS2021 - 2021 (<1 year)2 FIRMS2021 - Present (3 years)BHARTFORD EQUITY SALES COMPANY INC. (CRD# 6604)2004 - 2006 (2 years)BJACKSON NATIONAL LIFE DISTRIBU... (CRD# 40178)2001 - 2003 (2 years)BMARKET WISE SECURITIES, INC. (CRD# 45269)2000 - 2000 (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1999 - 2000 (<1 year)BINVESCO DISTRIBUTORS, INC. (CRD# 289)1998 - 1999 (1 year)
Disclosure(s)
View By:
3/14/2012
Employment Separation After Allegations
License(s)

State Registrations

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Arizona 12/21/2022
B
Louisiana 11/29/2022
B
Arkansas 1/17/2023
B
Minnesota 10/13/2022
B
California 11/22/2022
B
Missouri 11/22/2022
B
Colorado 11/22/2022
B
New Jersey 11/22/2022
B
District of Columbia 11/29/2022
B
New Mexico 11/23/2022
B
Florida 8/19/2022
B
New York 9/29/2024
B
Georgia 5/4/2023
B
South Carolina 11/28/2022
B
Illinois 5/26/2021
B
Texas 11/22/2022
IA
Illinois 5/26/2021
B
Vermont 11/23/2022
B
Indiana 1/4/2023
B
Virginia 11/28/2022
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Kentucky 11/23/2022
B
Wisconsin 6/15/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
55 E Grand Ave, Fox Lake, IL 60020
175 N Milwaukee Ave, Vernon Hills, IL 60061
Registered with this firm since 5/26/2021
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U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
55 E Grand Ave, Fox Lake, IL 60020
175 N Milwaukee Ave, Vernon Hills, IL 60061
Registered with this firm since 4/30/2021
Previous Registration(s)
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 03/24/2021 - 05/12/2021 LPL FINANCIAL LLC (CRD#:6413) BUFFALO GROVE, IL
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 03/24/2021 - 05/12/2021 LPL FINANCIAL LLC (CRD#:6413) BUFFALO GROVE, IL
IA
 01/16/2014 - 03/24/2021 BMO HARRIS FINANCIAL ADVISORS, INC (CRD#:137115) BUFFALO GROVE, IL
B
 01/31/2014 - 03/24/2021 BMO HARRIS FINANCIAL ADVISORS, INC. (CRD#:137115) BUFFALO GROVE, IL
IA
 02/11/2010 - 04/11/2012 PNC INVESTMENTS (CRD#:129052) LIBERTYVILLE, IL
B
 02/15/2010 - 04/11/2012 PNC INVESTMENTS (CRD#:129052) LIBERTYVILLE, IL
IA
 05/30/2008 - 12/16/2008 GENWORTH FINANCIAL ADVISERS CORPORATION (CRD#:105644) LIBERTYVILLE, IL
B
 05/29/2008 - 12/16/2008 GENWORTH FINANCIAL SECURITIES CORPORATION (CRD#:10358) LIBERTYVILLE, IL
B
 03/24/2004 - 07/07/2006 HARTFORD EQUITY SALES COMPANY INC. (CRD#:6604) HARTFORD, CT
B
 12/05/2001 - 12/02/2003 JACKSON NATIONAL LIFE DISTRIBUTORS, INC. (CRD#:40178) FRANKLIN, TN
B
 07/17/2001 - 12/03/2001 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 07/17/2001 - 12/03/2001 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
 09/06/2000 - 01/22/2001 J. P. MORGAN ADVISORY SERVICES INC. (CRD#:102040) NEW YORK, NY
B
 04/06/2000 - 01/19/2001 J. P. MORGAN ADVISORS, INC. (CRD#:102920) NEW YORK, NY
B
 02/28/2000 - 03/31/2000 MARKET WISE SECURITIES, INC. (CRD#:45269) CHICAGO, IL
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 11/17/1999 - 03/01/2000 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
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 07/06/1998 - 07/16/1999 INVESCO DISTRIBUTORS, INC. (CRD#:289) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
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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.
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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.