KW
Kevin J. Whitehead
U.S. BANCORP ADVISORS
Earth City, MO 63045
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CRD#: 1949184
KW
Professional summary
Kevin James Whitehead, who also goes by Kevin Whitehead, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Earth City, Missouri.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Whitehead
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.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin James Whitehead's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin James Whitehead'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®
NoneExperience
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 3301 Rider Trl S, Earth City, MO 63045Office #2: 1050 S Woods Mill Rd, Chesterfield, MO 63017RIA
BD
CRD#: 14455
Earth City, MO
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 3301 Rider Trl S, Earth City, MO 63045Office #2: 1050 S Woods Mill Rd, Chesterfield, MO 63017RIA
BD
CRD#: 14455
Earth City, MO
Past
February 1, 2017 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Chesterfield, MO
Past
February 1, 2017 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Chesterfield, MO
Past
September 9, 2015 - December 19, 2016
TD AMERITRADE, INC.
RIA
CRD#: 7870
ST. LOUIS, MO
Past
September 9, 2015 - December 19, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
SAINT LOUIS, MO
Past
August 26, 2015 - December 19, 2016
TD AMERITRADE, INC.
BD
CRD#: 7870
ST. LOUIS, MO
Past
June 3, 2013 - September 9, 2015
SMITH, MOORE & CO.
RIA
CRD#: 3441
CLAYTON, MO
Past
June 3, 2013 - September 9, 2015
SMITH, MOORE & CO.
BD
CRD#: 3441
CLAYTON, MO
Past
May 3, 2010 - April 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
May 3, 2010 - April 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 1, 2009 - April 1, 2010
MORGAN STANLEY
RIA
CRD#: 149777
ST. LOUIS, MO
Past
June 1, 2009 - April 1, 2010
MORGAN STANLEY
BD
CRD#: 149777
ST. LOUIS, MO
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ST. LOUIS, MO
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ST. LOUIS, MO
Past
February 15, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ST. LOUIS, MO
Past
March 24, 1998 - February 8, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ST. LOUIS, MO
Past
June 10, 1996 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ST. LOUIS, MO
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 ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | 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)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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
Arkansas(2/13/2026)
RR
Illinois(2/13/2026)
RR
Missouri(2/13/2026)
IAR
Missouri(2/13/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/13/1999
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | 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)BD
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)
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 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 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 ADVISORS, LLC
CRD#: 14455Earth City, MO 63045TRUST BUT VERIFY
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