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Detailed Report
Gregory James Nugent
CRD#: 7231309
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Investment Adviser
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Broker
U.S. BANCORP INVESTMENTS, INC.CRD#: 17868 4100 Newport Place
Newport Beach, CA 92660
Registration History
20202021202220232024202520262 FIRMS2020 - 2024 (3 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

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Arizona 6/6/2024
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Nevada 6/6/2024
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California 6/6/2024
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North Carolina 6/6/2024
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California 6/6/2024

SRO Registrations

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 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)
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U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
4100 Newport Place, Newport Beach, CA 92660
1666 San Miguel Dr., Newport Beach, CA 92660
Registered with this firm since 6/6/2024
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U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
4100 Newport Place, Newport Beach, CA 92660
1666 San Miguel Dr., Newport Beach, CA 92660
Registered with this firm since 6/6/2024
Previous Registration(s)
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 11/27/2020 - 06/07/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
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 11/03/2020 - 06/07/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.