RS
Richard C. Sexton
U.S. BANCORP INVESTMENTS
Cincinnati, OH 45226
Some features on this profile are disabled
CRD#: 2420761
RS
Professional summary
Richard Carl Sexton, who also goes by Rick Sexton, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. 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 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
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
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 2, 2017 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 5065 Wooster Rd, Cincinnati, OH 45226RIA
BD
CRD#: 17868
Cincinnati, OH
Current
February 2, 2017 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 5065 Wooster Rd, Cincinnati, OH 45226RIA
BD
CRD#: 17868
Cincinnati, OH
Past
December 11, 2015 - October 14, 2016
MSI FINANCIAL SERVICES, INC.
BD
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.
BD
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
BD
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
BD
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.
BD
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.
BD
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.
BD
CRD#: 14416
SOUTH BOSTON, MA
Past
January 20, 2006 - September 18, 2006
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
NASHUA, NH
Past
April 3, 2002 - February 8, 2006
IFMG SECURITIES, INC.
BD
CRD#: 14416
SALEM, NH
Past
November 19, 1993 - December 21, 2001
FIDELITY BROKERAGE SERVICES LLC
BD
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".
UB
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)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Alabama(2/13/2017)
RR
Alaska(3/3/2017)
RR
Arizona(2/9/2017)
RR
Arkansas(2/3/2017)
RR
California(2/3/2017)
RR
Colorado(2/9/2017)
RR
Connecticut(2/2/2017)
RR
Delaware(2/16/2017)
RR
District of Columbia(2/8/2017)
RR
Florida(2/20/2017)
RR
Georgia(2/13/2017)
RR
Hawaii(2/8/2017)
RR
Idaho(2/2/2017)
RR
Illinois(2/3/2017)
RR
Indiana(2/3/2017)
RR
Iowa(2/3/2017)
RR
Kansas(2/6/2017)
RR
Kentucky(2/9/2017)
RR
Louisiana(2/8/2017)
RR
Maine(2/3/2017)
RR
Maryland(2/6/2017)
RR
Massachusetts(1/10/2024)
RR
Michigan(2/9/2017)
RR
Minnesota(2/7/2017)
RR
Mississippi(2/9/2017)
RR
Missouri(3/9/2017)
RR
Montana(2/2/2017)
RR
Nebraska(2/3/2017)
RR
Nevada(2/13/2017)
RR
New Hampshire(3/6/2017)
RR
New Jersey(2/7/2017)
RR
New Mexico(2/10/2017)
RR
New York(2/9/2017)
RR
North Carolina(2/3/2017)
RR
North Dakota(2/4/2017)
RR
Ohio(2/2/2017)
IAR
Ohio(2/2/2017)
RR
Oklahoma(2/7/2017)
RR
Oregon(7/5/2017)
RR
Pennsylvania(2/3/2017)
RR
Puerto Rico(2/8/2017)
RR
Rhode Island(2/3/2017)
RR
South Carolina(2/3/2017)
RR
South Dakota(2/8/2017)
RR
Tennessee(2/9/2017)
RR
Texas(2/13/2017)
RR
Utah(2/2/2017)
RR
Vermont(2/10/2017)
RR
Virginia(2/2/2017)
RR
Washington(2/3/2017)
RR
West Virginia(2/14/2017)
RR
Wisconsin(2/2/2017)
RR
Wyoming(2/9/2017)
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 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)BD
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)
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 | ||
| 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.
Company Information
U.S. BANCORP INVESTMENTS, INC.
CRD#: 17868Cincinnati, OH 45226TRUST BUT VERIFY
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