Richard C. Sexton

U.S. BANCORP ADVISORS

Cincinnati, OH 45226

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CRD#: 2420761

Professional summary

Richard Carl Sexton, who also goes by Rick Sexton, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Cincinnati, Ohio.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Aliases

Rick Sexton

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) - RIA

Click below to view Richard Carl Sexton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard Carl Sexton'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

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 5065 Wooster Rd, Cincinnati, OH 45226

RIA

CRD#: 14455

Cincinnati, OH

Current

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 5065 Wooster Rd, Cincinnati, OH 45226

RIA

CRD#: 14455

Cincinnati, OH

Past

February 2, 2017 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

Cincinnati, OH

Past

February 2, 2017 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

Cincinnati, OH

Past

December 11, 2015 - October 14, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CINCINNATI, OH

Past

December 8, 2015 - October 14, 2016

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CINCINNATI, OH

Past

December 20, 2012 - December 19, 2013

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

NASHUA, NH

Past

December 19, 2012 - December 19, 2013

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

May 25, 2012 - November 1, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NASHUA, NH

Past

May 25, 2012 - November 1, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NASHUA, NH

Past

August 30, 2010 - May 21, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BEDFORD, NH

Past

August 30, 2010 - May 21, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BEDFORD, NH

Past

November 6, 2007 - September 3, 2010

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

PORTSMOUTH, NH

Past

November 6, 2007 - September 3, 2010

CITIZENS SECURITIES, INC.

CRD#: 39550

PORTSMOUTH, NH

Past

November 20, 2006 - October 16, 2007

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

NASHUA, NH

Past

November 20, 2006 - October 16, 2007

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

NASHUA, NH

Past

September 18, 2006 - November 10, 2006

IFMG SECURITIES, INC.

RIA

CRD#: 14416

SOUTH BOSTON, MA

Past

September 18, 2006 - November 10, 2006

IFMG SECURITIES, INC.

CRD#: 14416

SOUTH BOSTON, MA

Past

January 20, 2006 - September 18, 2006

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

NASHUA, NH

Past

April 3, 2002 - February 8, 2006

IFMG SECURITIES, INC.

CRD#: 14416

SALEM, NH

Past

November 19, 1993 - December 21, 2001

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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 (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

Alabama
(2/13/2026)

Alaska
(2/13/2026)

Arizona
(2/13/2026)

Arkansas
(2/13/2026)

California
(2/13/2026)

Colorado
(2/13/2026)

Connecticut
(2/13/2026)

Delaware
(2/13/2026)

District of Columbia
(2/13/2026)

Florida
(2/17/2026)

Georgia
(2/13/2026)

Hawaii
(2/13/2026)

Idaho
(2/13/2026)

Illinois
(2/13/2026)

Indiana
(2/13/2026)

Iowa
(2/13/2026)

Kansas
(2/13/2026)

Kentucky
(2/13/2026)

Louisiana
(2/13/2026)

Maine
(2/13/2026)

Maryland
(2/13/2026)

Massachusetts
(2/13/2026)

Michigan
(2/13/2026)

Minnesota
(2/13/2026)

Mississippi
(2/13/2026)

Missouri
(2/13/2026)

Montana
(2/13/2026)

Nebraska
(2/13/2026)

Nevada
(2/13/2026)

New Hampshire
(2/13/2026)

New Jersey
(2/13/2026)

New Mexico
(2/13/2026)

New York
(2/13/2026)

North Carolina
(2/13/2026)

North Dakota
(2/13/2026)

Ohio
(2/13/2026)

IAR

Ohio
(2/13/2026)

Oklahoma
(2/13/2026)

Oregon
(2/13/2026)

Pennsylvania
(2/13/2026)

Puerto Rico
(7/4/2026)

Rhode Island
(2/13/2026)

South Carolina
(2/13/2026)

South Dakota
(2/13/2026)

Tennessee
(2/13/2026)

Texas
(2/13/2026)

Utah
(2/13/2026)

Vermont
(2/13/2026)

Virginia
(2/13/2026)

Washington
(2/13/2026)

West Virginia
(2/13/2026)

Wisconsin
(2/13/2026)

Wyoming
(2/13/2026)

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

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 3/23/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 12/17/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 11/18/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 10/15/2004

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 (Kansas City district office)

PREMIUM

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Contact information

Main Address

60 Livingston Ave Ep-mn-n2wc, Saint Paul, MN 55107

Mailing Address

60 Livingston Ave Ep-mn-n2wc, St. Paul, MN 55107

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

379

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

USBA WRAP BROCHURE - PART 2A APPENDIX 1 (7/31/2026)

PART 2A OF FORM ADV - FINANCIAL PLANNING SERVICES (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
U.S. BANCORP	SOLE MEMBER
ARIAS, CARLOS ALONSO	MANAGER	3174333
BEJASA, EILEEN	MANAGER	7002808
CLARK, SHANNON KEITH	CHIEF FINANCIAL OFFICER AND MANAGER	5829700
FERGUSON, KIMBERLY NICOLE	MANAGER	4120145
FLOUM, JOEL IRA	MANAGER	2405754
MCCARTHY, MATTHEW RYAN	CHIEF LEGAL OFFICER	6818984
MENACHER, EILEEN RENEE	MANAGER	4929896
ROLLAND, JODI THOMPSON	PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER	2290884
SALSTROM, KYLE NORMAN	CHIEF COMPLIANCE OFFICER AND MANAGER	5025315
STEINER, STEPHEN WARD	CHIEF OPERATIONS OFFICER AND MANAGER	2259345
TRIPLETT, SHANE T	MANAGER	1865319

Regulatory assets under management

Total Number of Accounts	3,992
AUM (Assets Under Management)	$ 1,796,069,079

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.

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Advisor Monitoring

Firm Stability Insights

Richard C. Sexton

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Carl Sexton's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard Carl Sexton's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

CETERA INVESTMENT SERVICES LLC

BANCNORTH INVESTMENT GROUP, INC.

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

IFMG SECURITIES, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Passed: 3/23/2006

Series 63

Passed: 12/17/1993

SIE

Passed: 10/1/2018

Series 7

Passed: 11/18/1993

Series 24

Passed: 10/15/2004

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

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 ADVISORS, LLC

TRUST BUT VERIFY

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