GC
Gavin J. Carter
U.S. BANCORP ADVISORS
San Diego, CA 92106
Some features on this profile are disabled
CRD#: 2346917
GC
Professional summary
Gavin John Carter is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in San Diego, California.
Gavin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Gavin has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 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 Gavin John Carter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gavin John Carter'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: 1331 Rosecrans St, San Diego, CA 92106Office #2: 4747 Executive Dr, San Diego, CA 92121Office #3: 1706 Garnet Ave, San Diego, CA 92109Office #4: 1175 Rosecrans St, San Diego, CA 92106RIA
BD
CRD#: 14455
San Diego, CA
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 1331 Rosecrans St, San Diego, CA 92106Office #2: 4747 Executive Dr, San Diego, CA 92121Office #3: 1706 Garnet Ave, San Diego, CA 92109Office #4: 1175 Rosecrans St, San Diego, CA 92106RIA
BD
CRD#: 14455
San Diego, CA
Past
June 13, 2017 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
San Diego, CA
Past
June 12, 2017 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
San Diego, CA
Past
July 10, 2006 - June 22, 2017
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
LA MESA, CA
Past
July 10, 2006 - June 22, 2017
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
LA MESA, CA
Past
September 16, 2004 - June 21, 2006
ATLAS SECURITIES, LLC
BD
CRD#: 20991
LA MESA, CA
Past
January 2, 2003 - October 5, 2004
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
August 20, 2001 - January 15, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
SANTEE, CA
Past
April 24, 2001 - January 15, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
May 1, 1998 - April 30, 2001
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
April 16, 1998 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
Past
October 26, 1995 - March 23, 1998
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
September 21, 1994 - August 8, 1995
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
March 30, 1994 - August 8, 1994
PIM FINANCIAL SERVICES, INC.
BD
CRD#: 10547
SAN MARCOS, CA
Past
June 9, 1993 - October 26, 1993
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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)
IAR
California(2/13/2026)
RR
Colorado(2/13/2026)
RR
Florida(2/16/2026)
RR
Hawaii(2/13/2026)
RR
Kansas(2/13/2026)
RR
Minnesota(2/13/2026)
RR
Missouri(2/13/2026)
RR
Nevada(2/13/2026)
RR
New Mexico(2/13/2026)
RR
North Carolina(2/13/2026)
RR
Ohio(2/13/2026)
RR
Oregon(2/13/2026)
RR
South Dakota(2/13/2026)
RR
Texas(2/13/2026)
IAR
Texas(2/13/2026)
RR
Washington(2/13/2026)
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 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.
