DS
Donald J. Sundt
U.S. BANCORP ADVISORS
Shakopee, MN 55379
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CRD#: 2292776
DS
Professional summary
Donald James Sundt is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Shakopee, Minnesota.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Donald has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Donald James Sundt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Donald James Sundt'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: 8325 Crossings Blvd, Shakopee, MN 55379Office #2: 15830 Franklin Trail Se, Prior Lake, MN 55372Office #3: 111 Central Ave N, New Prague, MN 56071RIA
BD
CRD#: 14455
Shakopee, MN
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 8325 Crossings Blvd, Shakopee, MN 55379Office #2: 15830 Franklin Trail Se, Prior Lake, MN 55372Office #3: 111 Central Ave N, New Prague, MN 56071RIA
BD
CRD#: 14455
Shakopee, MN
Past
February 16, 2021 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Prior Lake, MN
Past
February 16, 2021 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Prior Lake, MN
Past
July 1, 2016 - December 9, 2020
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
Eaden Prairie, MN
Past
July 1, 2016 - December 9, 2020
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Eaden Prairie, MN
Past
July 7, 2014 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
Maple Grove, MN
Past
July 1, 2014 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
Maple Grove, MN
Past
February 12, 2014 - July 24, 2014
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
MAPLE GROVE, MN
Past
December 17, 2013 - July 24, 2014
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MINNEAPOLIS, MN
Past
January 4, 2013 - November 6, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MINNEAPOLIS, MN
Past
August 23, 2012 - November 6, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
November 11, 2011 - August 17, 2012
LOCORR DISTRIBUTORS, LLC
BD
CRD#: 41782
EXCELSIOR, MN
Past
June 5, 2007 - April 13, 2009
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST PAUL, MN
Past
September 28, 2004 - June 7, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 28, 2004 - June 7, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
November 27, 1995 - July 12, 2004
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
September 20, 1993 - May 13, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 20, 1993 - May 13, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(2/13/2026)
RR
Arkansas(2/13/2026)
RR
California(2/13/2026)
RR
Colorado(2/13/2026)
RR
Florida(2/17/2026)
RR
Idaho(2/13/2026)
RR
Illinois(2/13/2026)
RR
Iowa(2/13/2026)
RR
Kentucky(2/13/2026)
RR
Maine(2/13/2026)
RR
Massachusetts(2/13/2026)
RR
Minnesota(2/13/2026)
IAR
Minnesota(2/13/2026)
RR
Montana(2/13/2026)
RR
New Jersey(2/13/2026)
RR
New York(2/13/2026)
RR
North Carolina(2/13/2026)
RR
Oregon(2/13/2026)
RR
Pennsylvania(2/13/2026)
RR
South Carolina(2/13/2026)
RR
Tennessee(2/13/2026)
RR
Texas(2/13/2026)
IAR
Texas(2/13/2026)
RR
Utah(2/13/2026)
RR
Washington(2/13/2026)
RR
Wisconsin(2/13/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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 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
Large
# of Employees
244
SEC notice filing (51 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.
