MM
Monisha R. Mapp
U.S. BANCORP ADVISORS
Tulsa, OK
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CRD#: 4898415
MM
Professional summary
Monisha R Mapp is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Tulsa, Oklahoma.
Monisha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Monisha has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) County Committee, not investment related, 108 West 39th Street Suite 1201. New York, NY 10018, political, County committeewoman, start date: June 2019, # of hours devoted: 2, # of hours devoted during business hours: 0. Attend annual meeting and vote on rules. Appoint nominees should an office become vacant during term. (2) Election Inspector, not investment related, 32 Broadway New York, NY 10004, political, Inspector, start date: Sept 2014, # of hours devoted: 2.5, # of hours devoted during business hours: 0, Various duties at the polling location to service the voters and maintain election integrity. (3) Mapp Wealth Strategies LLC, Not investment related, 26 Broadway Suite 934 NYC 10004, Coaching, Owner, start date: Dec 1, 2021, # of hours devoted: 20, # of hours devoted during business hours: 0, This is a startup but when up and running I would provide one on one and group financial coaching to underserved populations to help dissect underlying attitudes about money and how that affects our current relationship with same. This would be done outside of normal business hours in the evenings and on weekends. (4) Saavy Business Solutions LLC, not investment related, 342 E 119th St NYC 10035, Family Holding Co, Member, start date: Jan 05, 2009, # of hours devoted: 5, # of hours devoted during business hours: 0, Advisory and year-end tax preparation. (5) Just Us Partners LLC, not investment related, 5540 Centerview Drive Suite 200 Raleigh NC 27606, Real Estate, Treasurer, start date: Aug 3, 2020, # of hours devoted: 10, # of hours devoted during business hours: 0, Manage funds and decision making with other partners.
CRS (Client Relationship Summary) - RIA
Click below to view Monisha R Mapp's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Monisha R Mapp'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
January 6, 2022 - Present
U.S. BANCORP ADVISORS, LLC
RIA
BD
CRD#: 14455
Tulsa, OK
Current
January 7, 2022 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 800 N Brand Blvd. 16th Floor, Glendale, CA, 91203RIA
BD
CRD#: 14455
Glendale, CA
Past
March 6, 2017 - May 11, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SUMMIT, NJ
Past
April 24, 2015 - May 11, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 4, 2013 - September 19, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
July 9, 2012 - January 16, 2013
MORGAN STANLEY
BD
CRD#: 149777
JERSEY CITY, NJ
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
California(1/7/2022)
IAR
California(1/12/2022)
IAR
New York(1/6/2022)
RR
New York(1/7/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
