Niki Hondropoulos
Professional summary
Niki Hondropoulos is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Chicago, Illinois.
Niki is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Niki has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Niki Hondropoulos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Niki Hondropoulos's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 801 N Clark St, Chicago, IL 60610June 29, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 801 N Clark St, Chicago, IL 60610July 1, 2021 - June 23, 2026
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2021 - June 23, 2026
WELLS FARGO CLEARING SERVICES, LLC
March 4, 2020 - June 11, 2021
RAYMOND JAMES & ASSOCIATES, INC.
March 4, 2020 - June 11, 2021
RAYMOND JAMES & ASSOCIATES, INC.
September 6, 2018 - October 10, 2018
UBS FINANCIAL SERVICES INC.
September 6, 2018 - October 10, 2018
UBS FINANCIAL SERVICES INC.
October 15, 2013 - July 10, 2018
UBS FINANCIAL SERVICES INC.
October 15, 2013 - July 10, 2018
UBS FINANCIAL SERVICES INC.
June 11, 2008 - October 15, 2013
RBC CAPITAL MARKETS, LLC
June 11, 2008 - October 15, 2013
RBC CAPITAL MARKETS, LLC
August 25, 2005 - June 26, 2008
J.P. MORGAN SECURITIES LLC
February 23, 2001 - June 26, 2008
J.P. MORGAN SECURITIES LLC
September 26, 2000 - March 14, 2001
WILLIAM BLAIR
October 12, 1998 - November 26, 1999
PRAIRIE BROKERAGE SERVICES LLC
July 6, 1998 - September 28, 1998
MESIROW FINANCIAL, INC.
October 30, 1997 - April 23, 1998
IDS LIFE INSURANCE COMPANY
October 30, 1997 - April 23, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/29/2026)
(6/29/2026)
Exams
FINRA
Current Firm
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
Contact information
SEC notice filing (52 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.
