John A. Emery
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Austin Emery was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 11 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2011 - March 1, 2013
U.S. BANCORP ADVISORS, LLC
November 4, 2011 - March 1, 2013
U.S. BANCORP ADVISORS, LLC
September 13, 2010 - August 10, 2011
CHASE INVESTMENT SERVICES CORP.
September 13, 2010 - August 10, 2011
CHASE INVESTMENT SERVICES CORP.
July 20, 2009 - August 30, 2010
WELLS FARGO INVESTMENTS, LLC
January 20, 2005 - August 30, 2010
WELLS FARGO INVESTMENTS, LLC
June 8, 2004 - January 14, 2005
AMERIPRISE ADVISOR SERVICES, INC.
February 20, 2003 - July 17, 2003
ZIONS DIRECT, INC.
December 13, 2000 - January 21, 2003
WELLS FARGO INVESTMENTS, LLC
March 6, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 27, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
September 11, 1998 - December 8, 1998
BA INVESTMENT SERVICES, INC.
June 4, 1998 - September 28, 1998
PENSION PLANNERS SECURITIES, INC.
July 24, 1996 - February 15, 1998
JWGENESIS SECURITIES, INC.
March 29, 1996 - July 1, 1996
GKN SECURITIES CORP.
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
Exams
Current Firm
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 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.
