LS
Luiz A. Souto-maior
U.S. BANCORP INVESTMENTS
Madras, OR 97741
Some features on this profile are disabled
CRD#: 1852222
LS
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 INVESTMENTS, INC. located in Madras, 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 10 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.
1) Overseas Realty, LLC; Non Investment-related; Tulum, Mexico; Rental Real Estate; Sole Owner of LLC; President/ Member; 11/2021; 0 hours/ month; 0 hours/ trading; No active duties currently 2) Kiwanis Club - Redmond; Non Investment-related; Redmond, OR; Non-Profit; Board Member; Board Member; 10/2024; 4 hours/month; 0 hours/trading; Review grants and projects that benefit the children and young people in Redmond, OR.
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
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 29, 2022 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 42 Sw C St, Madras, OR 97741Office #2: 221 Ne 3rd St, Prineville, OR 97754Office #3: 1402 Adams, La Grande, OR 97850Office #4: 2000 Main St, Baker City, OR 97814Office #5: 314 Sw Sixth St, Redmond, OR 97756Office #6: 207 Main St, Halfway, OR 97834Office #7: 105 Sw Court, Pendleton, OR 97801Office #8: 245 Se 2nd St, Hermiston, OR 97838Office #9: 51469 S Huntington Rd, La Pine, OR 97739RIA
BD
CRD#: 17868
Madras, OR
Current
November 29, 2022 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 42 Sw C St, Madras, OR 97741Office #2: 221 Ne 3rd St, Prineville, OR 97754Office #3: 1402 Adams, La Grande, OR 97850Office #4: 2000 Main St, Baker City, OR 97814Office #5: 314 Sw Sixth St, Redmond, OR 97756Office #6: 207 Main St, Halfway, OR 97834Office #7: 105 Sw Court, Pendleton, OR 97801Office #8: 245 Se 2nd St, Hermiston, OR 97838Office #9: 51469 S Huntington Rd, La Pine, OR 97739RIA
BD
CRD#: 17868
Madras, OR
Past
February 23, 2010 - December 8, 2022
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Eugene, OR
Past
February 23, 2010 - December 8, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Eugene, OR
Past
December 26, 2008 - February 17, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
BEND, OR
Past
December 26, 2008 - February 17, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
BEND, OR
Past
June 13, 2008 - December 22, 2008
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
PORTLAND, OR
Past
June 13, 2008 - December 22, 2008
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
PORTLAND, OR
Past
May 19, 2006 - September 26, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
REMOND, OR
Past
May 11, 2006 - September 26, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
REMOND, OR
Past
August 17, 2004 - March 20, 2006
ICBC STANDARD SECURITIES INC.
BD
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.
BD
CRD#: 5393
WESTLAKE, TX
Past
April 20, 1992 - March 16, 1993
HAMILTON INVESTMENTS, INC.
BD
CRD#: 821
Past
July 27, 1990 - January 21, 1991
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
September 12, 1989 - July 12, 1990
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
July 20, 1988 - April 6, 1989
DERAND/PENNINGTON/BASS, INC.
BD
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".
UB
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)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Arizona(3/28/2023)
RR
California(4/5/2023)
RR
Colorado(5/9/2023)
RR
Nevada(4/22/2024)
RR
Oregon(11/29/2022)
IAR
Oregon(11/29/2022)
RR
Utah(6/16/2025)
RR
Washington(11/29/2022)
RR
Wisconsin(1/8/2025)
RR
Wyoming(3/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
UB
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)BD
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)
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 | ||
| 11/21/2023 |
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.
Company Information
U.S. BANCORP INVESTMENTS, INC.
CRD#: 17868Madras, OR 97741TRUST BUT VERIFY
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