Darlene F. Swatik
U.S. BANCORP ADVISORS
Torrance, CA 90503
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CRD#: 4274701
Professional summary
Darlene Flores Swatik, CFP®, ChFC®, CLU®, who also goes by Darlene Flores, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Torrance, California.
Darlene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Darlene has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Darlene Flores
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 Darlene Flores Swatik's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Darlene Flores Swatik'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®
CFP®
Start date: 2012
Experience
Current
August 5, 2009 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 21201 Hawthorne Boulevard, Torrance, CA 90503Office #2: 4350 Pacific Coast Highway, Torrance, CA 90505RIA
BD
CRD#: 14455
Torrance, CA
Current
August 5, 2009 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 21201 Hawthorne Boulevard, Torrance, CA 90503Office #2: 4350 Pacific Coast Highway, Torrance, CA 90505RIA
BD
CRD#: 14455
Torrance, CA
Past
May 2, 2009 - July 31, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
TORRANCE, CA
Past
May 2, 2009 - July 31, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
TORRANCE, CA
Past
December 3, 2004 - May 2, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
TORRANCE, CA
Past
December 3, 2004 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
TORRANCE, CA
Past
April 29, 2004 - November 16, 2004
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
LAKEWOOD, CA
Past
August 26, 2003 - November 16, 2004
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
July 5, 2001 - August 13, 2003
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
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(12/2/2019)
RR
California(8/5/2009)
IAR
California(8/5/2009)
RR
Florida(2/10/2022)
RR
Georgia(6/19/2019)
RR
Hawaii(1/24/2022)
RR
Idaho(7/22/2025)
RR
Michigan(5/1/2017)
IAR
Michigan(5/3/2017)
RR
Montana(2/26/2025)
RR
Nevada(2/11/2011)
IAR
North Carolina(11/4/2015)
RR
North Carolina(11/17/2015)
RR
North Dakota(10/30/2024)
RR
Oregon(8/5/2009)
RR
Texas(1/7/2021)
IAR
Texas(1/7/2021)
RR
Utah(1/24/2022)
Exams
State Security Law Exam
State Security Law 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
Medium
# of Employees
244
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.
