Joseph H. Westendorf

U.S. BANCORP ADVISORS

Sarasota, FL 34236

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CRD#: 2637034

Professional summary

Joseph Henry Westendorf, who also goes by Joe Henry Westendorf, Joe Westendorf, Joseph Westendorf, Jospeh Henry Westendorf, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Sarasota, Florida.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Joseph has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Henry Westendorf | Joe Westendorf | Joseph Westendorf | Jospeh Henry Westendorf

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 Joseph Henry Westendorf's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph Henry Westendorf'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 17, 2026 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 1800 2nd St, Sarasota, FL 34236

RIA

CRD#: 14455

Sarasota, FL

Current

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 1800 2nd St, Sarasota, FL 34236

RIA

CRD#: 14455

Sarasota, FL

Past

October 28, 2024 - February 14, 2026

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

Sarasota, FL

Past

October 21, 2024 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

Sarasota, FL

Past

April 8, 2022 - October 23, 2024

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

BRADENTON, FL

Past

April 7, 2022 - October 23, 2024

FIFTH THIRD SECURITIES, INC.

CRD#: 628

BRADENTON, FL

Past

October 18, 2018 - April 1, 2022

TOUCHSTONE SECURITIES, LLC

CRD#: 1526

CINCINNATI, OH

Past

September 28, 2016 - September 12, 2018

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

June 9, 2016 - August 22, 2016

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

BRADENTON, FL

Past

April 12, 2016 - August 22, 2016

FIFTH THIRD SECURITIES, INC.

CRD#: 628

BRADENTON, FL

Past

December 12, 2012 - April 13, 2016

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

October 3, 2012 - November 28, 2012

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

TAMPA, FL

Past

June 21, 2012 - November 28, 2012

EQUITABLE ADVISORS, LLC

CRD#: 6627

TAMPA, FL

Past

April 27, 2005 - September 19, 2011

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

ST. PETERSBURG, FL

Past

July 2, 1998 - April 18, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ST.PETERSBUR, FL

Past

June 24, 1998 - April 18, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 30, 1996 - October 9, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 13, 1995 - August 2, 1996

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

September 13, 1995 - August 2, 1996

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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 (Los Angeles 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

California
(2/13/2026)

Florida
(2/14/2026)

IAR

Florida
(2/17/2026)

Georgia
(2/13/2026)

Illinois
(2/13/2026)

Kentucky
(2/13/2026)

Michigan
(2/13/2026)

New York
(2/13/2026)

Ohio
(2/13/2026)

Pennsylvania
(2/13/2026)

Wisconsin
(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

State Security Law Exam

IAR

Series 66

Date: 4/1/2022

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/29/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/5/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/15/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/12/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/20/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 11/21/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/21/2001

General Securities Sales Supervisor - Options Module 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 (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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USBA WRAP BROCHURE - PART 2A APPENDIX 1 - 12/12/2025 (12/12/2025)

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	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

Joseph H. Westendorf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Henry Westendorf's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph Henry Westendorf's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

TOUCHSTONE SECURITIES, LLC

EMPOWER FINANCIAL SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

EMPOWER FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/2022

Series 65

Date: 9/29/2012

Series 63

Date: 4/11/2003

SIE

Date: 9/12/2018

Series 31

Date: 8/5/1998

Series 7

Date: 7/15/1998

Series 6

Date: 9/12/1995

Series 24

Date: 3/20/2006

Series 10

Date: 11/21/2002

Series 9

Date: 12/21/2001

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 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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