Lauren G. Ganz

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CRD#: 2176417

Professional summary

Lauren Gail Ganz was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lauren Gail Ganz, who also goes by Lauren Gail Duberstein, Laurie Duberstein, Laurre Duberstein, Laurre Ganz, Lauren Gail Johnson, Laurie Johnson, Laurre Johnson, Laurie Lanz, was a registered financial advisor .

Lauren is a previously registered financial advisor and started their career in finance in 1991. Lauren had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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

August 16, 2011 - February 6, 2013

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

APPLE VALLEY, MN

Past

August 16, 2011 - February 6, 2013

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

APPLE VALLEY, MN

Past

August 17, 2009 - August 17, 2011

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

ST. LOUIS PARK, MN

Past

August 6, 2009 - August 17, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST LOUIS PARK, MN

Past

February 26, 2003 - August 7, 2009

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

WATERTOWN, MN

Past

June 1, 2001 - August 7, 2009

INVEST FINANCIAL CORPORATION

CRD#: 12984

WATERTOWN, MN

Past

February 23, 2001 - May 10, 2001

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

November 13, 1998 - October 23, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 13, 1998 - October 23, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

August 9, 1995 - October 7, 1998

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

May 3, 1995 - August 8, 1995

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

June 18, 1993 - May 5, 1995

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

August 24, 1992 - May 4, 1993

UNITED PACIFIC SECURITIES, INC.

CRD#: 21986

CARLSBAD, CA

Past

October 28, 1991 - July 30, 1992

A. G. EDWARDS & SONS, INC.

CRD#: 4

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".

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City 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: 11/7/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/25/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/29/1997

General Securities Principal Examination

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A APPENDIX 1 OF FORM ADV (PERSONAL PORTFOLIOS WRAP BROCHURE) (11/14/2025)

PART 2A OF FORM ADV (FINANCIAL PLANNING SERVICES) (9/12/2025)

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	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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Firm Stability Insights

Lauren G. Ganz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

U.S. BANCORP INVESTMENTS, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

U.S. BANCORP INVESTMENTS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

U.S. BANCORP INVESTMENTS, INC.

WELLS FARGO BROKERAGE SERVICES, L.L.C.

U.S. BANCORP INVESTMENTS, INC.

UNITED PACIFIC SECURITIES, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

U.S. BANCORP INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/7/1991

Series 7

Date: 10/25/1991

Series 24

Date: 8/29/1997

Current Firm

U.S. BANCORP INVESTMENTS, INC.

Contact information

SEC notice filing (52 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 INVESTMENTS, INC.

TRUST BUT VERIFY

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