Alberto Hernandez

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CRD#: 1724817

Professional summary

Alberto Hernandez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alberto is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Alberto had worked at 7 firms, which includes U.S. BANCORP ADVISORS LLC, A. WEBSTER DOUGHERTY & CO. INCORPORATED, VANGUARD CAPITAL, LEHMAN BROTHERS INC., CITIGROUP GLOBAL MARKETS INC., DREXEL BURNHAM LAMBERT INCORPORATED, WESTMONT SECURITIES CORPORATION.

Question & Answer

Are you a "fiduciary"?

Aliases

Albert Hernandez

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 26, 1994 - December 1, 1994

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

Past

June 22, 1993 - December 21, 1993

A. WEBSTER DOUGHERTY & CO., INCORPORATED

CRD#: 7136

Past

October 28, 1992 - June 2, 1993

VANGUARD CAPITAL

CRD#: 22081

Past

February 6, 1990 - October 24, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

Past

May 17, 1989 - February 15, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

December 20, 1988 - June 3, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

October 20, 1987 - November 30, 1988

WESTMONT SECURITIES CORPORATION

CRD#: 15932

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 ADVISORS, LLC

CRD#: 14455 / SEC#: 801-70084, 8-30706

RIA

Registered Investment Advisory firm - SEC (8/14/2009 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2009 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/24/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 5/3/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

Current Firm

U.S. BANCORP ADVISORS, LLC

CRD#: 14455 / SEC#: 801-70084, 8-30706

RIA

Registered Investment Advisory firm - SEC (8/14/2009 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2009 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/24/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

800 N Brand Blvd. 16th Floor 16th Floor, Glendale, CA, 91203

Mailing Address

800 N Brand Blvd. 16th Floor, Glendale, CA, 91203

Phone number

(800) 634-1100

Established

Delaware since 06/28/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

244

SEC notice filing (51 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

USBA WRAP BROCHURE - PART 2A APPENDIX 1 - 10/27/2025 (10/24/2025)

Direct owners and executive officers

Name	Position	CRD#
U.S. BANCORP	SOLE MEMBER
BEJASA, EILEEN	SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS	7002808
CANEVA, DANIEL CESAR	SVP CHIEF OPERATIONS OFFICER	1686099
CLARK, SHANNON KEITH	CHIEF FINANCIAL OFFICER	5829700
ELY, JAMES EUGENE JR.	SENIOR VICE PRESIDENT - SALES	1843373
FERGUSON, KIMBERLY NICOLE	CHIEF EXECUTIVE OFFICER AND MANAGER	4120145
LAWLOR, BETH DEDRICK	EXECUTIVE VICE PRESIDENT	5352662
ROLLAND, JODI THOMPSON	MANAGER	2290884
SALSTROM, KYLE NORMAN	CHIEF COMPLIANCE OFFICER	5025315
TRIPLETT, SHANE T	INSTITUTIONAL SALES MANAGER	1865319

Regulatory assets under management

Total Number of Accounts	3,905
AUM (Assets Under Management)	$ 1,516,483,817

Disclosures

Regulatory Event	4
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/19/2025	Cover Page	Report
08/20/2024	Cover Page	Report
11/28/2023	Cover Page	Report
11/21/2023	Cover Page	Report

Red Flags

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Alberto Hernandez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

A. WEBSTER DOUGHERTY & CO., INCORPORATED

VANGUARD CAPITAL

LEHMAN BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

WESTMONT SECURITIES CORPORATION

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/1988

Series 7

Date: 10/17/1987

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (51 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 ADVISORS, LLC

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