MG
Michael R. Granja
U.S. BANCORP INVESTMENTS
Los Alamitos, CA 90720
Some features on this profile are disabled
CRD#: 2142889
MG
Professional summary
Michael Robert Granja, who also goes by Mike Robert Granja, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Los Alamitos, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Robert Granja
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.
Balboa Bay Club Board of Governors; not investment-related; Balboa Bay Club - Newport Beach, CA; private social Bay club; Balboa Bay Club Board of Governors; 8/23/2021; 8 hours/month; 2 hours/trading/month; role in development of Club policies, active participation at Board meetings (quarterly basis) and sub committees (monthly).
CRS (Client Relationship Summary) - RIA
Click below to view Michael Robert Granja's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Robert Granja'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
November 20, 2017 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 3996 Ball Rd, Los Alamitos, CA 90720Office #2: 10942 Pine St, Los Alamitos, CA 90720Office #3: 13070 Yale Ave, Irvine, CA 92620Office #4: 2615 Cherry Ave, Signal Hill, CA 90755Office #5: 12112 Valley View St, Garden Grove, CA 92845Office #6: 27211 La Paz Rd, Laguna Niguel, CA 92677Office #7: 23511 Paseo De Valencia, Laguna Hills, CA 92653RIA
BD
CRD#: 17868
Los Alamitos, CA
Current
November 20, 2017 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 3996 Ball Rd, Los Alamitos, CA 90720Office #2: 10942 Pine St, Los Alamitos, CA 90720Office #3: 13070 Yale Ave, Irvine, CA 92620Office #4: 2615 Cherry Ave, Signal Hill, CA 90755Office #5: 12112 Valley View St, Garden Grove, CA 92845Office #6: 27211 La Paz Rd, Laguna Niguel, CA 92677Office #7: 23511 Paseo De Valencia, Laguna Hills, CA 92653RIA
BD
CRD#: 17868
Los Alamitos, CA
Past
January 22, 2007 - November 27, 2017
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
SANTA ANA, CA
Past
January 22, 2007 - November 27, 2017
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
SANTA ANA, CA
Past
September 1, 2004 - January 24, 2007
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SANTA ANA, CA
Past
September 1, 2004 - January 24, 2007
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SANTA ANA, CA
Past
March 7, 2003 - August 26, 2004
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
SEAL BEACH, CA
Past
February 5, 2003 - August 26, 2004
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
May 23, 2002 - February 5, 2003
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
July 24, 1997 - May 28, 2002
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
August 27, 1992 - July 23, 1997
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
January 27, 1992 - August 26, 1992
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
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(3/18/2020)
RR
California(11/20/2017)
IAR
California(11/20/2017)
RR
Florida(5/14/2020)
RR
Hawaii(6/13/2025)
RR
Michigan(8/11/2025)
RR
Nevada(3/23/2021)
RR
Oregon(3/29/2019)
RR
Pennsylvania(6/13/2025)
RR
Tennessee(12/9/2021)
RR
Texas(10/3/2025)
IAR
Texas(10/6/2025)
RR
Utah(1/5/2018)
RR
Washington(8/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
