Wilson H. To
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Wilson Honwai To was a registered financial professional .
Wilson is a previously registered financial professional and started their career in finance in 2001. Wilson had worked at 8 firms and has passed the Series 66, Series 52TO, Series 7TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2019 - August 16, 2021
U.S. BANCORP ADVISORS, LLC
August 1, 2019 - August 16, 2021
U.S. BANCORP ADVISORS, LLC
May 9, 2018 - July 23, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 8, 2018 - July 23, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 5, 2015 - April 23, 2018
SII INVESTMENTS, INC.
January 5, 2015 - April 23, 2018
INVESTMENT CENTERS OF AMERICA, INC.
January 5, 2015 - April 23, 2018
INVEST FINANCIAL CORPORATION
January 2, 2015 - April 23, 2018
SII INVESTMENTS, INC.
January 2, 2015 - April 23, 2018
INVESTMENT CENTERS OF AMERICA, INC.
January 2, 2015 - April 23, 2018
INVEST FINANCIAL CORPORATION
March 24, 2006 - April 23, 2018
NATIONAL PLANNING CORPORATION
March 24, 2006 - April 23, 2018
NATIONAL PLANNING CORPORATION
August 14, 2003 - March 28, 2006
M HOLDINGS SECURITIES, INC.
August 13, 2003 - March 28, 2006
M HOLDINGS SECURITIES, INC.
February 13, 2003 - July 25, 2003
SECURIAN FINANCIAL SERVICES, INC.
May 14, 2001 - July 25, 2003
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 10/3/2022
General Securities Representative ExaminationCurrent Firm
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
Contact information
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.
