TC
Traci A. Carrion
U.S. BANCORP INVESTMENTS
Salt Lake City, UT 84115
Some features on this profile are disabled
CRD#: 2845981
TC
Professional summary
Traci Allysan Carrion, who also goes by Traci A Carrion, Traci Allysan Fishbein, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Salt Lake City, Utah.
Traci is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Traci has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Traci A Carrion | Traci Allysan Fishbein
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 - TRACI & ALLEN CARRION POSITION: Co-Owner NATURE: Rental Property Landlord- Former Primary Residence INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 07/22/2018 ADDRESS: 8545 Southridge Drive, Park City UT 84098, United States DESCRIPTION: Rental Property, Owner, non investment related, duties-landlord of property, former primary residence, time devoted-1%, start dt-07/22/2018, hrs per mo-2, during trading hrs- less than 1
CRS (Client Relationship Summary) - RIA
Click below to view Traci Allysan Carrion's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Traci Allysan Carrion'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
July 23, 2025 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1575 S Main St, Salt Lake City, UT 84115Office #2: 8100 S State St, Midvale, UT 84047Office #3: 4135 S Redwood Rd, Salt Lake City, UT 84123Office #4: 5710 W 7800 S, West Jordan, UT 84084Office #5: 1514 Park Ave, Park City, UT 84060RIA
BD
CRD#: 17868
Salt Lake City, UT
Current
July 22, 2025 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1575 S Main St, Salt Lake City, UT 84115Office #2: 8100 S State St, Midvale, UT 84047Office #3: 4135 S Redwood Rd, Salt Lake City, UT 84123Office #4: 5710 W 7800 S, West Jordan, UT 84084Office #5: 1514 Park Ave, Park City, UT 84060RIA
BD
CRD#: 17868
Salt Lake City, UT
Past
November 15, 2022 - July 15, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
Memphis, TN
Past
November 11, 2022 - July 15, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
Memphis, TN
Past
November 12, 2019 - October 25, 2022
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
MEMPHIS, TN
Past
November 12, 2019 - October 25, 2022
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MEMPHIS, TN
Past
December 3, 2018 - August 9, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Memphis, TN
Past
November 30, 2018 - August 9, 2019
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
MEMPHIS, TN
Past
May 2, 2014 - January 3, 2018
MORGAN STANLEY
RIA
CRD#: 149777
ROCKVILLE, MD
Past
April 30, 2014 - January 3, 2018
MORGAN STANLEY
BD
CRD#: 149777
ROCKVILLE, MD
Past
June 1, 2009 - March 4, 2013
MORGAN STANLEY
RIA
CRD#: 149777
GAITHERSBURG, MD
Past
June 1, 2009 - March 4, 2013
MORGAN STANLEY
BD
CRD#: 149777
GAITHERSBURG, MD
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
GAITHERSBURG, MD
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
GAITHERSBURG, MD
Past
September 28, 2000 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
GAITHERSBURG, MD
Past
June 10, 1999 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
September 11, 1998 - June 30, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
May 13, 1997 - March 11, 1998
PEGASUS CAPITAL CORPORATION
BD
CRD#: 13658
ARLINGTON, VA
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 INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Texas(10/21/2025)
IAR
Texas(10/22/2025)
RR
Utah(7/22/2025)
IAR
Utah(7/23/2025)
RR
Wyoming(10/6/2025)
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 INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 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.
Company Information
U.S. BANCORP INVESTMENTS, INC.
CRD#: 17868Salt Lake City, UT 84115TRUST BUT VERIFY
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