TM
Thomas J. Michelotti
U.S. BANCORP ADVISORS
Fox Lake, IL 60020
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CRD#: 3064966
TM
Professional summary
Thomas John Michelotti, who also goes by Tom John Michelotti, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Fox Lake, Illinois.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom John Michelotti
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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Michelotti's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas John Michelotti'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
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 55 E Grand Ave, Fox Lake, IL 60020Office #2: 175 N Milwaukee Ave, Vernon Hills, IL 60061RIA
BD
CRD#: 14455
Fox Lake, IL
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 55 E Grand Ave, Fox Lake, IL 60020Office #2: 175 N Milwaukee Ave, Vernon Hills, IL 60061RIA
BD
CRD#: 14455
Fox Lake, IL
Past
May 26, 2021 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Fox Lake, IL
Past
April 30, 2021 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Fox Lake, IL
Past
March 24, 2021 - May 12, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
BUFFALO GROVE, IL
Past
March 24, 2021 - May 12, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
BUFFALO GROVE, IL
Past
January 31, 2014 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
BUFFALO GROVE, IL
Past
January 16, 2014 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
RIA
CRD#: 137115
BUFFALO GROVE, IL
Past
February 15, 2010 - April 11, 2012
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LIBERTYVILLE, IL
Past
February 11, 2010 - April 11, 2012
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LIBERTYVILLE, IL
Past
May 30, 2008 - December 16, 2008
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LIBERTYVILLE, IL
Past
May 29, 2008 - December 16, 2008
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
LIBERTYVILLE, IL
Past
March 24, 2004 - July 7, 2006
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
December 5, 2001 - December 2, 2003
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
July 17, 2001 - December 3, 2001
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
July 17, 2001 - December 3, 2001
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
September 6, 2000 - January 22, 2001
J. P. MORGAN ADVISORY SERVICES INC.
BD
CRD#: 102040
NEW YORK, NY
Past
April 6, 2000 - January 19, 2001
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
February 28, 2000 - March 31, 2000
MARKET WISE SECURITIES, LLC
BD
CRD#: 45269
CHICAGO, IL
Past
November 17, 1999 - March 1, 2000
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
July 6, 1998 - July 16, 1999
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 289
HOUSTON, TX
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(2/13/2026)
RR
Arkansas(2/13/2026)
RR
California(2/13/2026)
RR
Colorado(2/13/2026)
RR
District of Columbia(2/13/2026)
RR
Florida(2/18/2026)
RR
Georgia(2/13/2026)
RR
Illinois(2/13/2026)
IAR
Illinois(2/13/2026)
RR
Indiana(2/13/2026)
RR
Kentucky(2/13/2026)
RR
Minnesota(2/13/2026)
RR
Missouri(2/13/2026)
RR
New Jersey(2/13/2026)
RR
New Mexico(2/13/2026)
RR
New York(2/13/2026)
RR
South Carolina(2/13/2026)
RR
Texas(2/13/2026)
IAR
Texas(2/13/2026)
RR
Vermont(2/13/2026)
RR
Virginia(2/13/2026)
RR
Wisconsin(2/13/2026)
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 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
Large
# of Employees
244
SEC notice filing (51 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.
Company Information
U.S. BANCORP ADVISORS, LLC
CRD#: 14455Fox Lake, IL 60020TRUST BUT VERIFY
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