RS
Roger R. Szendrey
U.S. BANCORP ADVISORS
ROLLING HILLS ESTATE, CA 90274
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CRD#: 2802329
RS
Professional summary
Roger Romero Szendrey is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Rolling Hills Estate, California.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Roger has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Rental Property; investment related; Address: Los Angeles, CA; Nature: Real Estate rental; Owner; Start Date: 6/13/2022; 2 hrs./mo; 0 hrs./business; We have an agent to list property and runs background checks when there is a vacancy. I collect rent and pay for any repairs needed.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Romero Szendrey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roger Romero Szendrey'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
April 17, 2008 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 507 Silver Spur Rd, Rolling Hills Estate, CA 90274RIA
BD
CRD#: 14455
ROLLING HILLS ESTATE, CA
Current
April 17, 2008 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 507 Silver Spur Rd, Rolling Hills Estate, CA 90274RIA
BD
CRD#: 14455
ROLLING HILLS ESTATE, CA
Past
March 24, 2006 - January 9, 2008
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
PACIFIC PALISADES, CA
Past
March 24, 2006 - January 9, 2008
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
PACIFIC PALISADES, CA
Past
December 2, 2002 - March 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LOS ANGELES, CA
Past
December 2, 2002 - March 27, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 2, 2002 - March 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
September 10, 2001 - October 30, 2002
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CENTURY CITY, CA
Past
June 29, 2001 - October 30, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 14, 1997 - June 20, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 16, 1996 - February 24, 1997
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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".
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(8/7/2017)
IAR
Arizona(11/17/2023)
RR
Arkansas(2/14/2025)
RR
California(4/17/2008)
IAR
California(4/17/2008)
RR
Florida(11/5/2019)
IAR
Florida(12/13/2022)
RR
Georgia(12/16/2024)
RR
Hawaii(10/4/2018)
RR
Minnesota(10/9/2025)
RR
Nevada(11/6/2008)
IAR
Nevada(8/18/2017)
RR
New Jersey(7/30/2018)
RR
New Mexico(3/12/2025)
RR
Ohio(3/18/2024)
RR
Oregon(8/22/2017)
IAR
Oregon(8/22/2017)
RR
Pennsylvania(11/3/2020)
RR
Texas(2/16/2017)
IAR
Texas(2/17/2021)
Exams
State Security Law Exam
State Security Law 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.
