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Lucy K Sims
LUCY K. HAUGHWOUT, LUCY HAUGWOUT, Lucy Howell Sims
CRD#: 5203975
IA
Investment Adviser
B
Broker
U.S. BANCORP INVESTMENTS, INC.CRD#: 17868 621 Capitol Mall
Sacramento, CA 95814
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2011 (4 years)2 FIRMS2011 - 2024 (13 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
California 12/4/2024

IA
California 12/4/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
621 Capitol Mall, Sacramento, CA 95814
Registered with this firm since 12/4/2024

B
U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
621 Capitol Mall, Sacramento, CA 95814
Registered with this firm since 12/4/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/03/2011 - 08/08/2024 WELLS FARGO ADVISORS (CRD#:19616) ROSEVILLE, CA
B
01/03/2011 - 08/08/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ROSEVILLE, CA
IA
10/20/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) CORTE MADERA, CA
B
09/27/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) CORTE MADERA, CA
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.