HP
Hector A. Penalosa
U.S. BANCORP ADVISORS
CORONADO, CA 92118
Some features on this profile are disabled
CRD#: 2778914
HP
Professional summary
Hector Alberto Penalosa JR, who also goes by Hector A Penalosa, Hector Alberto Penalosa, Hector Penalosa, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Coronado, California.
Hector is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Hector has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hector A Penalosa | Hector Alberto Penalosa | Hector Penalosa
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 Hector Alberto Penalosa JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hector Alberto Penalosa JR'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
January 9, 2018 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 800 Orange Avenue, Coronado, CA 92118Office #2: 620 Dennery Road, San Diego, CA 92154Office #3: 4249 Camino De La Plaza, San Ysidro, CA 92173Office #4: 1745 Eastlake Parkway, Suite 104, Chula Vista, CA 91915Office #5: 665 Saturn Blvd, San Diego, CA 92154Office #6: 22 East 8th Street, National City, CA 91950Office #7: 1343 Third Avenue, Chula Vista, CA 91911Office #8: 410 H Street, Chula Vista, CA 91910Office #9: 2269 Otay Lakes Road, Chula Vista, CA 91915RIA
BD
CRD#: 14455
CORONADO, CA
Current
January 9, 2018 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 800 Orange Avenue, Coronado, CA 92118Office #2: 620 Dennery Road, San Diego, CA 92154Office #3: 4249 Camino De La Plaza, San Ysidro, CA 92173Office #4: 1745 Eastlake Parkway, Suite 104, Chula Vista, CA 91915Office #5: 665 Saturn Blvd, San Diego, CA 92154Office #6: 22 East 8th Street, National City, CA 91950Office #7: 1343 Third Avenue, Chula Vista, CA 91911Office #8: 410 H Street, Chula Vista, CA 91910Office #9: 2269 Otay Lakes Road, Chula Vista, CA 91915RIA
BD
CRD#: 14455
CORONADO, CA
Past
March 13, 2013 - January 3, 2018
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
CHULA VISTA, CA
Past
March 13, 2013 - January 3, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHULA VISTA, CA
Past
January 14, 2010 - March 5, 2013
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SAN DIEGO, CA
Past
February 25, 1997 - November 4, 2009
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
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 ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | 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)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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
Arizona(1/24/2018)
RR
California(1/9/2018)
IAR
California(1/9/2018)
RR
Colorado(8/10/2021)
RR
District of Columbia(10/3/2023)
RR
Florida(1/24/2018)
RR
Georgia(9/4/2020)
RR
Idaho(1/26/2018)
RR
Minnesota(12/19/2024)
RR
Nevada(1/24/2018)
RR
New Mexico(7/28/2020)
RR
North Carolina(4/9/2018)
RR
Oregon(1/24/2018)
RR
Rhode Island(4/13/2018)
RR
Tennessee(1/24/2018)
RR
Texas(4/12/2018)
RR
Utah(4/12/2018)
RR
Washington(3/10/2022)
IAR
Washington(3/10/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | 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)BD
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
Medium
# of Employees
244
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.
