Gavin J. Carter

U.S. BANCORP INVESTMENTS

San Diego, CA 92109

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CRD#: 2346917

Professional summary

Gavin John Carter is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. 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.

Inspire Solutions, LLC; not investment-related; Encinitas, CA; manufacture tool making machines for the electronics circuit board production; Member (non-managing); 9/20/2019; 0 hours/month; 0 hours/trading; no duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gavin John Carter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Gavin John Carter'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

June 13, 2017 - Present

U.S. BANCORP INVESTMENTS, INC.

Office #1: 1706 Garnet Ave, San Diego, CA 92109Office #2: 4747 Executive Dr, San Diego, CA 92121Office #3: 1331 Rosecrans St, San Diego, CA 92106Office #4: 1175 Rosecrans St, San Diego, CA 92106

RIA

CRD#: 17868

San Diego, CA

Current

June 12, 2017 - Present

U.S. BANCORP INVESTMENTS, INC.

Office #1: 1706 Garnet Ave, San Diego, CA 92109Office #2: 4747 Executive Dr, San Diego, CA 92121Office #3: 1331 Rosecrans St, San Diego, CA 92106Office #4: 1175 Rosecrans St, San Diego, CA 92106

RIA

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

CRD#: 14455

LA MESA, CA

Past

September 16, 2004 - June 21, 2006

ATLAS SECURITIES, LLC

CRD#: 20991

LA MESA, CA

Past

January 2, 2003 - October 5, 2004

FIRST ALLIED SECURITIES, INC.

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.

CRD#: 16361

BOSTON, MA

Past

May 1, 1998 - April 30, 2001

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

April 16, 1998 - May 1, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

October 26, 1995 - March 23, 1998

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

September 21, 1994 - August 8, 1995

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

March 30, 1994 - August 8, 1994

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

SAN MARCOS, CA

Past

June 9, 1993 - October 26, 1993

CHATFIELD DEAN & CO., INC.

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".

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.

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

Arizona
(6/14/2017)

Arkansas
(12/20/2022)

California
(6/12/2017)

IAR

California
(6/13/2017)

Colorado
(7/17/2025)

Florida
(7/29/2025)

Hawaii
(6/14/2017)

Kansas
(9/27/2021)

Minnesota
(6/14/2017)

Missouri
(9/6/2018)

Nevada
(8/7/2023)

New Mexico
(6/14/2017)

North Carolina
(3/8/2021)

Ohio
(3/9/2021)

Oregon
(3/8/2021)

South Dakota
(6/14/2017)

Texas
(4/15/2021)

Washington
(6/14/2017)

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

IAR

Series 65

Date: 7/25/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/16/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/8/1993

General Securities Representative Examination

SRO Registrations

FINRA

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Gavin J. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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

Experience

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

ATLAS SECURITIES, LLC

FIRST ALLIED SECURITIES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

WAMU INVESTMENTS, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

WELLS FARGO SECURITIES INC.

WELLS FARGO SECURITIES INC.

PIM FINANCIAL SERVICES, INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

U.S. BANCORP INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/25/2001

Series 63

Date: 6/16/1993

SIE

Date: 10/1/2018

Series 7

Date: 6/8/1993

FINRA

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

Contact information

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