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SD

Scott T. Dorsey

U.S. BANCORP INVESTMENTS
New York, NY 10036
Some features on this profile are disabled
CRD#: 3205238
SD

Professional summary

Scott Thomas Dorsey, who also goes by Scott T Dorsey, is a registered financial professional currently at U.S. BANCORP INVESTMENTS, INC. located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott T Dorsey

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 Scott Thomas Dorsey'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

September 20, 2023 - Present

U.S. BANCORP INVESTMENTS, INC.

Office #1: 3 Bryant Park 1095 Avenue Of The Americas, New York, NY 10036
RIA
BD
CRD#: 17868
New York, NY
Past

November 18, 2013 - September 25, 2023

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
New York, NY
Past

July 16, 2009 - November 19, 2013

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
MELVILLE, NY
Past

July 10, 2009 - November 19, 2013

OPPENHEIMER & CO. INC.

BD
CRD#: 249
MELVILLE, NY
Past

December 10, 2002 - April 27, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JERICHO, NY
Past

May 3, 1999 - April 27, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
JERICHO, 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".
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.

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
Alabama
(9/26/2023)
RR
Alaska
(9/20/2023)
RR
Arizona
(9/20/2023)
RR
Arkansas
(9/20/2023)
RR
California
(9/20/2023)
RR
Colorado
(9/20/2023)
RR
Connecticut
(9/20/2023)
RR
Delaware
(9/20/2023)
RR
District of Columbia
(9/20/2023)
RR
Florida
(9/20/2023)
RR
Georgia
(9/20/2023)
RR
Hawaii
(9/27/2023)
RR
Idaho
(9/20/2023)
RR
Illinois
(9/20/2023)
RR
Indiana
(9/22/2023)
RR
Iowa
(9/22/2023)
RR
Kansas
(9/20/2023)
RR
Kentucky
(9/20/2023)
RR
Louisiana
(9/20/2023)
RR
Maine
(9/20/2023)
RR
Maryland
(9/20/2023)
RR
Massachusetts
(9/22/2023)
RR
Michigan
(9/20/2023)
RR
Minnesota
(9/26/2023)
RR
Mississippi
(9/20/2023)
RR
Missouri
(9/20/2023)
RR
Montana
(9/20/2023)
RR
Nebraska
(9/20/2023)
RR
Nevada
(9/20/2023)
RR
New Hampshire
(9/20/2023)
RR
New Jersey
(9/20/2023)
RR
New Mexico
(9/20/2023)
RR
New York
(9/20/2023)
RR
North Carolina
(9/20/2023)
RR
North Dakota
(9/20/2023)
RR
Ohio
(9/20/2023)
RR
Oklahoma
(9/20/2023)
RR
Oregon
(9/20/2023)
RR
Pennsylvania
(9/20/2023)
RR
Puerto Rico
(9/20/2023)
RR
Rhode Island
(9/20/2023)
RR
South Carolina
(9/20/2023)
RR
South Dakota
(9/25/2023)
RR
Tennessee
(9/20/2023)
RR
Texas
(9/20/2023)
RR
Utah
(9/20/2023)
RR
Vermont
(9/20/2023)
RR
Virginia
(9/20/2023)
RR
Washington
(9/20/2023)
RR
West Virginia
(9/20/2023)
RR
Wisconsin
(9/20/2023)
RR
Wyoming
(9/20/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/30/2009
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/15/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/11/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 2/23/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/30/1999
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PART 2A APPENDIX 1 OF FORM ADV (PERSONAL PORTFOLIOS WRAP BROCHURE) (11/14/2025)
PART 2A OF FORM ADV (FINANCIAL PLANNING SERVICES) (9/12/2025)

Direct owners and executive officers

NamePositionCRD#
U.S. BANCORPPARENT CORPORATION
AHMAD, MASOODSENIOR VICE PRESIDENT, OPERATIONS MANAGER7887624
BEJASA, EILEENDIRECTOR7002808
CLARK, SHANNON KEITHDIRECTOR AND CHIEF FINANCIAL OFFICER5829700
FERGUSON, KIMBERLY NICOLECHIEF EXECUTIVE OFFICER AND DIRECTOR4120145
FLOUM, JOEL IRADIRECTOR2405754
LAWLOR, BETH DDIRECTOR5352662
MCCARTHY, MATTHEW RYANCHIEF LEGAL OFFICER6818984
MOLLOY, JOHN WILLIAM JR.DIRECTOR1939358
ROLLAND, JODI THOMPSONDIRECTOR2290884
SALSTROM, KYLE NORMANCHIEF COMPLIANCE OFFICER, DIRECTOR5025315
STEGEMEYER, STEPHEN KYLEDIRECTOR2793064
STEINER, STEPHEN WARDCHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR2259345
WHANG, JAMESDIRECTOR2737019

Regulatory assets under management

Total Number of Accounts66,996
AUM (Assets Under Management)$ 19,296,734,956

Disclosures

Regulatory Event16
Arbitration12

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/19/2024
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.

Company Information

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868New York, NY 10036

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