Traci A. Carrion
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.
Traci Allysan Carrion, who also goes by Traci A Carrion, Traci Allysan Carrion, Traci Allysan Fishbein, was a registered financial professional .
Traci is a previously registered financial professional and started their career in finance in 1997. Traci had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2026 - March 20, 2026
U.S. BANCORP ADVISORS, LLC
February 13, 2026 - March 20, 2026
U.S. BANCORP ADVISORS, LLC
July 23, 2025 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
July 22, 2025 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
November 15, 2022 - July 15, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 11, 2022 - July 15, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 12, 2019 - October 25, 2022
RAYMOND JAMES & ASSOCIATES, INC.
November 12, 2019 - October 25, 2022
RAYMOND JAMES & ASSOCIATES, INC.
December 3, 2018 - August 9, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
November 30, 2018 - August 9, 2019
ALLSTATE FINANCIAL SERVICES, LLC
May 2, 2014 - January 3, 2018
MORGAN STANLEY
April 30, 2014 - January 3, 2018
MORGAN STANLEY
June 1, 2009 - March 4, 2013
MORGAN STANLEY
June 1, 2009 - March 4, 2013
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 28, 2000 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
June 10, 1999 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
September 11, 1998 - June 30, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 13, 1997 - March 11, 1998
PEGASUS CAPITAL CORPORATION
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 (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.
