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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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CG

Christian D. Gallagher

U.S. BANCORP INVESTMENTS
Johnstown, CO 80534
Some features on this profile are disabled
CRD#: 4214465
CG

Professional summary

Christian David Gallagher, who also goes by Chris Gallagher, is a registered financial professional currently at U.S. BANCORP INVESTMENTS, INC. located in Johnstown, Colorado.

Christian is registered as a RR (Registered Representative) and started their career in finance in 2000. Christian has worked at 6 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 6 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Gallagher

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 Christian David Gallagher'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

August 29, 2022 - Present

U.S. BANCORP INVESTMENTS, INC.

Office #1: 4949 Larimer Pkwy, Johnstown, CO 80534
RIA
BD
CRD#: 17868
Johnstown, CO
Past

July 26, 2016 - December 15, 2016

NYLIFE SECURITIES LLC

BD
CRD#: 5167
FORT COLLINS, CO
Past

August 21, 2001 - September 19, 2005

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

July 17, 2001 - August 15, 2001

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

December 14, 2000 - July 16, 2001

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

December 13, 2000 - July 16, 2001

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

July 10, 2000 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN

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
Arizona
(3/3/2023)
RR
Colorado
(9/19/2022)
RR
Georgia
(3/3/2023)
RR
Maryland
(6/24/2024)
RR
Missouri
(6/24/2024)
RR
Montana
(11/3/2022)
RR
Oregon
(6/24/2024)
RR
Wyoming
(3/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/7/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 8/29/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/22/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/26/2016
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/2000
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#: 17868Johnstown, CO 80534

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