Jonathan E. Prell

U.S. BANCORP ADVISORS

Chicago, IL 60603

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CRD#: 3050515

Professional summary

Jonathan Edward Prell, who also goes by Jon Gist, Jon Prell, Jonathan Edward Prell, is a registered financial professional currently at U.S. BANCORP ADVISORS, LLC located in Chicago, Illinois.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1998. Jonathan has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jon Gist | Jon Prell | Jonathan Edward Prell

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Edward Prell's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 190 S Lasalle St, Chicago, IL 60603

RIA

CRD#: 14455

Chicago, IL

Past

July 7, 2023 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

Chicago, IL

Past

May 12, 2015 - December 23, 2020

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

VERNON HILLS, IL

Past

May 12, 2015 - December 23, 2020

FIFTH THIRD SECURITIES, INC.

CRD#: 628

VERNON HILLS, IL

Past

November 2, 2010 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CHICAGO, IL

Past

November 2, 2010 - April 9, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

December 14, 2005 - November 15, 2010

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

BARRINGTON, IL

Past

December 14, 2005 - November 15, 2010

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

BARRINGTON, IL

Past

July 25, 2005 - December 31, 2005

HARRISDIRECT LLC

RIA

CRD#: 42159

BARRINGTON, IL

Past

July 25, 2005 - December 31, 2005

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

July 6, 2005 - July 26, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

July 6, 2005 - July 26, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

November 22, 2000 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

SCHAUMBURG, IL

Past

August 17, 2000 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

June 25, 1998 - August 10, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

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)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/19/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

Large

# of Employees

244

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USBA WRAP BROCHURE - PART 2A APPENDIX 1 - 12/12/2025 (12/12/2025)

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	Cover Page	Report
08/20/2024	Cover Page	Report
11/28/2023	Cover Page	Report
11/21/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Jonathan E. Prell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Edward Prell's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP INVESTMENTS, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

HARRISDIRECT LLC

HARRISDIRECT LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/1998

Series 63

Date: 7/10/1998

Series 7TO

Date: 6/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/22/1998

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

U.S. BANCORP ADVISORS, LLC

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