Thomas J. Melton

U.S. BANCORP INVESTMENTS

Auburn, CA 95603

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CRD#: 1100620

Professional summary

Thomas Joseph Melton, who also goes by Tom Melton, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Auburn, California.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Melton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Melton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas Joseph Melton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 7, 2022 - Present

U.S. BANCORP INVESTMENTS, INC.

Office #1: 2360 Grass Valley Hwy, Auburn, CA 95603Office #2: 2 S Main St, Colfax, CA 95713Office #3: 3700 Taylor Rd, Loomis, CA 95650

RIA

CRD#: 17868

Auburn, CA

Current

November 7, 2022 - Present

U.S. BANCORP INVESTMENTS, INC.

Office #1: 2360 Grass Valley Hwy, Auburn, CA 95603Office #2: 2 S Main St, Colfax, CA 95713Office #3: 3700 Taylor Rd, Loomis, CA 95650

RIA

CRD#: 17868

Auburn, CA

Past

September 16, 2021 - May 5, 2022

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

Bend, OR

Past

September 10, 2021 - May 5, 2022

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

Bend, OR

Past

June 25, 2018 - October 21, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROSEVILLE, CA

Past

June 22, 2018 - October 21, 2019

LPL FINANCIAL LLC

CRD#: 6413

ROSEVILLE, CA

Past

June 9, 2014 - June 25, 2018

CETERA ADVISORS LLC

RIA

CRD#: 10299

ROSEVILLE, CA

Past

June 9, 2014 - June 25, 2018

CETERA ADVISORS LLC

CRD#: 10299

ROSEVILLE, CA

Past

August 1, 2008 - June 9, 2014

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

ROSEVILLE, CA

Past

August 1, 2008 - June 9, 2014

NATIONAL PLANNING CORPORATION

CRD#: 29604

ROSEVILLE, CA

Past

September 12, 2000 - October 2, 2008

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

ROSEVILLE, CA

Past

November 13, 1997 - August 13, 2008

SECURITIES AMERICA, INC.

CRD#: 10205

ROSEVILLE, CA

Past

September 26, 1995 - November 19, 1997

LONDON PACIFIC SECURITIES, INC.

CRD#: 25089

SACRAMENTO, CA

Past

August 4, 1992 - September 26, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 4, 1992 - September 26, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 19, 1983 - August 12, 1992

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

U.S. BANCORP INVESTMENTS, INC.

CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.

CRD#: 17868 / SEC#: 801-68122, 8-35359

RIA

Registered Investment Advisory firm - SEC (7/23/2007 Approved)

Arizona

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (7/26/2007 Terminated)

California

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Colorado

Registered Investment Advisory firm - SEC (7/26/2007 Terminated)

Idaho

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/23/2007 Terminated)

Iowa

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (7/25/2007 Terminated)

Missouri

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Nevada

Registered Investment Advisory firm - SEC (8/15/2007 Terminated)

Ohio

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Oregon

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (8/23/2007 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Utah

Registered Investment Advisory firm - SEC (8/23/2007 Terminated)

Washington

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/7/2022)

IAR

California
(11/7/2022)

Maryland
(3/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/19/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/7/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/11/1988

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

U.S. BANCORP INVESTMENTS, INC.

CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.

CRD#: 17868 / SEC#: 801-68122, 8-35359

RIA

Registered Investment Advisory firm - SEC (7/23/2007 Approved)

Arizona

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (7/26/2007 Terminated)

California

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Colorado

Registered Investment Advisory firm - SEC (7/26/2007 Terminated)

Idaho

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/23/2007 Terminated)

Iowa

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (7/25/2007 Terminated)

Missouri

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Nevada

Registered Investment Advisory firm - SEC (8/15/2007 Terminated)

Ohio

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Oregon

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (8/23/2007 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Utah

Registered Investment Advisory firm - SEC (8/23/2007 Terminated)

Washington

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107

Mailing Address

60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107

Phone number

(800) 888-4700

Established

Delaware since 02/25/1974

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

2,152

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A APPENDIX 1 OF FORM ADV (PERSONAL PORTFOLIOS WRAP BROCHURE) (11/14/2025)

PART 2A OF FORM ADV (FINANCIAL PLANNING SERVICES) (9/12/2025)

Direct owners and executive officers

Name	Position	CRD#
U.S. BANCORP	PARENT CORPORATION
AHMAD, MASOOD	SENIOR VICE PRESIDENT, OPERATIONS MANAGER	7887624
BEJASA, EILEEN	DIRECTOR	7002808
CLARK, SHANNON KEITH	DIRECTOR AND CHIEF FINANCIAL OFFICER	5829700
FERGUSON, KIMBERLY NICOLE	CHIEF EXECUTIVE OFFICER AND DIRECTOR	4120145
FLOUM, JOEL IRA	DIRECTOR	2405754
LAWLOR, BETH D	DIRECTOR	5352662
MCCARTHY, MATTHEW RYAN	CHIEF LEGAL OFFICER	6818984
MOLLOY, JOHN WILLIAM JR.	DIRECTOR	1939358
ROLLAND, JODI THOMPSON	DIRECTOR	2290884
SALSTROM, KYLE NORMAN	CHIEF COMPLIANCE OFFICER, DIRECTOR	5025315
STEGEMEYER, STEPHEN KYLE	DIRECTOR	2793064
STEINER, STEPHEN WARD	CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR	2259345
WHANG, JAMES	DIRECTOR	2737019

Regulatory assets under management

Total Number of Accounts	66,996
AUM (Assets Under Management)	$ 19,296,734,956

Disclosures

Regulatory Event	16
Arbitration	12

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/19/2024	Cover Page	Report
11/21/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas J. Melton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Melton's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Joseph Melton's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP INVESTMENTS, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

LONDON PACIFIC SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

PFS INVESTMENTS INC.

Primary Firm SEC Registration

U.S. BANCORP INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/1999

Series 63

Date: 3/19/1983

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1995

Series 6

Date: 5/7/1983

Series 26

Date: 3/11/1988

FINRA

Current Firm

U.S. BANCORP INVESTMENTS, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

U.S. BANCORP INVESTMENTS, INC.

TRUST BUT VERIFY

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