Luiz A. Souto-maior

U.S. BANCORP ADVISORS

Baker City, OR 97814

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CRD#: 1852222

Professional summary

Luiz Augusto Souto-maior, CFP®, who also goes by Luiz Augusto Souto-maior, Louis Soutomaior, Luiz Augusto Soutomaior, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Baker City, Oregon.

Luiz is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Luiz has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luiz Augusto Souto-Maior | Louis Soutomaior | Luiz Augusto Soutomaior

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 Luiz Augusto Souto-maior's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Luiz Augusto Souto-maior'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®

CFP^®

Certified Financial Planner

Experience

Current

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 2000 Main St, Baker City, OR 97814Office #2: 42 Sw C St, Madras, OR 97741Office #3: 245 Se 2nd St, Hermiston, OR 97838Office #4: 221 Ne 3rd St, Prineville, OR 97754Office #5: 207 Main St, Halfway, OR 97834Office #6: 314 Sw Sixth St, Redmond, OR 97756Office #7: 105 Sw Court, Pendleton, OR 97801Office #8: 1402 Adams, La Grande, OR 97850Office #9: 51469 S Huntington Rd, La Pine, OR 97739

RIA

CRD#: 14455

Baker City, OR

Current

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 6694

REMOND, OR

Past

August 17, 2004 - March 20, 2006

ICBC STANDARD SECURITIES INC.

CRD#: 35560

MIAMI, FL

Past

October 30, 1998 - July 16, 2004

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

March 12, 1993 - July 16, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 20, 1992 - March 16, 1993

CRD#: 4679

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.

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

Arizona
(2/13/2026)

California
(2/13/2026)

Colorado
(2/13/2026)

Nevada
(2/13/2026)

Oregon
(2/13/2026)

IAR

Oregon
(2/13/2026)

Utah
(2/13/2026)

Washington
(2/13/2026)

Wisconsin
(2/13/2026)

Wyoming
(2/13/2026)

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 66

Date: 11/8/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/27/1988

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: 7/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/18/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 12/16/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

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 Ep-mn-n2wc, Saint Paul, MN, 55107

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

Large

# of Employees

244

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV - FINANCIAL PLANNING SERVICES (2/16/2026)

USBA WRAP BROCHURE - PART 2A APPENDIX 1 (2/16/2026)

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

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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Advisor Monitoring

Firm Stability Insights

Luiz A. Souto-maior

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luiz Augusto Souto-maior's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Luiz Augusto Souto-maior's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ICBC STANDARD SECURITIES INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

HAMILTON INVESTMENTS, INC.

THE ADVISORS GROUP, INC.

VP DISTRIBUTORS LLC

DERAND/PENNINGTON/BASS, INC.

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/2002

Series 63

Date: 7/27/1988

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1988

Series 24

Date: 6/18/2004

Series 8

Date: 12/16/1994

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 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

TRUST BUT VERIFY

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