Stacy S. Smith

U.S. BANCORP ADVISORS

La Crescenta, CA

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CRD#: 2258785

Professional summary

Stacy Steven Smith is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in La Crescenta, California.

Stacy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stacy has worked at 2 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

WRITING UNDER THE ABBREVIATED PEN NAME OF "S. STEVEN SMITH", TO RECEIVE ROYALTIES AND BOOK SALE PROFITS. WRITING ONLY FICTION AND NON-FICTION THAT IS NOT RELATED TO THE FINANCIAL SECURITIES INDUSTRY. INTENTION IS TO SELF-PUBLISH AS WELL AS SEEK OUT TRADITIONAL PUBLISHING DEALS, WITH THE POSSIBILITY OF SELLING RIGHTS TO THE ENTERTAINMENT AND MERCHANDISING INDUSTRIES. PUBLISHING UNDER MY PEN NAME OF S. STEVEN SMITH, AND LIKELY ALSO S. STEVEN SMITH PUBLISHING, FROM MY HOME RESIDENCE ADDRESS. WRITING EFFORTS WILL TAKE UP TO 7 HOURS PER WEEK WITH NO WRITING BEING DONE DURING MY WORK AT UNIONBANC INVESTMENT SERVICES AS WELL AS WITHIN SECURITIES TRADING HOURS. I AM THE SOLE PARTICIPANT IN THIS OUTSIDE BUSINESS ACTIVITY AND THE AUTHOR RESPONSIBLE FOR PRODUCING ALL THE WRITTEN MATERIAL. INTENDED INITIAL PUBLISHING DATE IS MARCH 9TH, 2018. THIS NON-INVESTMENT RELATED BUSINESS IS ARTISAN WIRE WORKS WHICH IS A SOLE PROPRIETORSHIP OWNED BY MY WIFE, ELIZABETH R. SMITH. I WILL BE ASSISTING HER IS SMALL AMOUNTS OF TIME WITH THE ONLINE SALES SETUP OF RETAIL SALES FOR HER HANDCRAFTED JEWELRY AND DECORATIONS. I WILL NOT RECEIVE ANY COMPENSATION FOR THE APPROXIMATELY 2 TO 4 HOURS OF WORK PER WEEK DOING ONLINE POSTINGS, PRODUCT PHOTOGRAPHY AND MINOR ACCOUNTING WORK. BUSINESS ADDRESS IS P.O. BOX 12143, LA CRESCENTA, CA 91224. I WILL NOT CONDUCT ANY OF THIS WORK DURING SECURITIES TRADING HOURS WHILE PERFORMING MY DUTIES AT UBIS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacy Steven Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Stacy Steven Smith'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®

None

Experience

Current

August 4, 2003 - Present

U.S. BANCORP ADVISORS, LLC

Office #2: 800 N Brand Blvd. 16th Floor, Glendale, CA, 91203

RIA

CRD#: 14455

La Crescenta, CA

Current

February 2, 1994 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 800 N Brand Blvd. 16th Floor, Glendale, CA, 91203

RIA

CRD#: 14455

Glendale, CA

Past

October 26, 1992 - January 4, 1994

INDEPENDENCE ONE BROKERAGE SERVICES, INC.

CRD#: 17529

FARMINGTON HILLS, MI

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

Alabama
(7/19/1996)

Alaska
(7/5/1996)

Arizona
(7/12/1996)

Arkansas
(8/2/1996)

California
(2/2/1994)

IAR

California
(8/4/2003)

Colorado
(2/2/1994)

Connecticut
(6/20/1996)

Delaware
(6/19/1996)

District of Columbia
(6/21/1996)

Florida
(7/21/1995)

Georgia
(6/19/1996)

Hawaii
(9/14/1995)

Idaho
(6/26/1996)

Illinois
(6/28/1996)

Indiana
(6/20/1996)

Iowa
(6/19/1996)

Kansas
(6/24/1996)

Kentucky
(6/19/1996)

Louisiana
(6/24/1996)

Maine
(6/25/1996)

Maryland
(7/26/1995)

Massachusetts
(6/19/1996)

Michigan
(7/3/1996)

Minnesota
(6/21/1996)

Mississippi
(6/26/1996)

Missouri
(8/8/1996)

Montana
(6/19/1996)

Nebraska
(6/28/1996)

Nevada
(2/9/1994)

New Hampshire
(6/19/1996)

New Jersey
(6/25/1996)

New Mexico
(6/20/1996)

New York
(10/4/1996)

North Carolina
(6/20/1996)

North Dakota
(7/17/1996)

Ohio
(6/21/1996)

Oklahoma
(6/19/1996)

Oregon
(2/4/1994)

IAR

Oregon
(4/14/2009)

Pennsylvania
(6/19/1996)

Rhode Island
(6/20/1996)

South Carolina
(7/3/1996)

South Dakota
(6/20/1996)

Tennessee
(4/15/2009)

Texas
(7/19/1995)

Utah
(6/20/1996)

Vermont
(6/19/1996)

Virginia
(6/19/1996)

Washington
(2/4/1994)

IAR

Washington
(4/6/2009)

West Virginia
(6/19/1996)

Wisconsin
(6/19/1996)

Wyoming
(6/25/1996)

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

Series 63

Date: 11/2/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/16/2009

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/26/2002

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/1998

General Securities Principal Examination

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 16th Floor, Glendale, CA, 91203

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

Medium

# of Employees

244

SEC notice filing (51 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

USBA WRAP BROCHURE - PART 2A APPENDIX 1 - 10/27/2025 (10/24/2025)

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Stacy S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacy Steven Smith's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stacy Steven Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP ADVISORS, LLC

INDEPENDENCE ONE BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/2/1992

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/18/1992

Series 4

Date: 1/16/2009

Series 53

Date: 6/26/2002

Series 24

Date: 2/13/1998

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (51 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 ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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