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Detailed Report
Alma A Myers
ALMA ALICIA DUARTE
CRD#: 5497821
IA
Investment Adviser
B
Broker
U.S. BANCORP INVESTMENTS, INC.CRD#: 17868 18300 Von Karman Ave
Irvine, CA 92612
Registration History
201220142016201820202022202420262 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - 2023 (5 years)2 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BNYLIFE SECURITIES LLC (CRD# 5167)2012 - 2016 (3 years)
License(s)

State Registrations

B
California 12/11/2024
IA
California 12/11/2024

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)
18300 Von Karman Ave, Irvine, CA 92612
Registered with this firm since 12/11/2024
B
U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
18300 Von Karman Ave, Irvine, CA 92612
Registered with this firm since 12/11/2024
Previous Registration(s)
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IA
 07/19/2023 - 10/14/2024 LPL FINANCIAL LLC (CRD#:6413) SOUTH GATE, CA
B
 07/19/2023 - 10/14/2024 LPL FINANCIAL LLC (CRD#:6413) SOUTH GATE, CA
IA
 12/06/2017 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) SOUTH GATE, CA
B
 12/05/2017 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) SOUTH GATE, CA
IA
 03/30/2016 - 11/30/2017 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) HENDERSON, NV
B
 01/28/2016 - 11/30/2017 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) HENDERSON, NV
B
 10/09/2012 - 01/08/2016 NYLIFE SECURITIES LLC (CRD#:5167) GLENDALE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.