James T. Slane
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.
James Thomas Slane JR., who also goes by James T (jr) Slane, James Thomas Slane Jr, James Thomas Slane, James Slane, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2014 - February 10, 2016
U.S. BANCORP ADVISORS, LLC
October 30, 2014 - February 10, 2016
U.S. BANCORP ADVISORS, LLC
January 5, 2012 - September 9, 2014
BANCWEST INVESTMENT SERVICES, INC.
January 5, 2012 - September 9, 2014
BANCWEST INVESTMENT SERVICES, INC.
March 10, 2010 - November 22, 2011
CHASE INVESTMENT SERVICES CORP.
March 10, 2010 - November 22, 2011
CHASE INVESTMENT SERVICES CORP.
June 2, 2009 - March 31, 2010
MORGAN STANLEY
June 1, 2009 - March 31, 2010
MORGAN STANLEY
May 29, 2009 - July 21, 2009
CITIGROUP GLOBAL MARKETS INC.
May 28, 2009 - July 21, 2009
CITIGROUP GLOBAL MARKETS INC.
September 22, 2000 - May 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 1999 - May 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 12, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
June 19, 1997 - June 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
