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Regina Anne Susa
Regina Anne Chavez, Regina Susa
CRD#: 5304722
IA
Investment Adviser
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Broker
U.S. BANCORP INVESTMENTS, INC.CRD#: 17868 1 California St
San Francisco, CA 94111
Registration History
20082010201220142016201820202022202420262 FIRMS2023 - Present (1 year)BUNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455)2021 - 2023 (1 year)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2007 - 2009 (1 year)IAUNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455)2022 - 2023 (1 year)
License(s)

State Registrations

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California 5/26/2023

IA
California 6/2/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
1 California St, San Francisco, CA 94111
Registered with this firm since 6/2/2023

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U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
1 California St, San Francisco, CA 94111
Registered with this firm since 5/26/2023

Previous Registration(s)
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02/26/2022 - 06/01/2023 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) SAN JOSE, CA
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10/09/2021 - 05/26/2023 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) SAN JOSE, CA
B
05/21/2007 - 03/03/2009 NORTHERN TRUST SECURITIES, INC. (CRD#:7927) LOS ALTOS, CA
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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.