Melissa Rivas

U.S. BANCORP ADVISORS

Tempe, AZ 85281

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CRD#: 4937962

Professional summary

Melissa Rivas, CFP® is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Tempe, Arizona.

Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Melissa has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

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.

EMPLOYEE OF THE VANGUARD GROUP, INC. (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD., MALVERN, PA 19355. NAME OF BUSINESS: WEST USA REALTY NON-INVESTMENT RELATED: ADDRESS: GLENDALE, AZ NATURE OF BUSINESS: REAL ESTATE POSITION: REALTOR START DATE: 03/2016 APPROXIMATE HOURS/MONTH DEVOTED TO THE BUSINESS: 8 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ASSIST CLIENT'S WITH BUYING AND SELLING RESIDENTIAL REAL ESTATE..... NAME OF BUSINESS: HomeSmart NON-INVESTMENT RELATED: ADDRESS: Glendale, AZ NATURE OF BUSINESS: Real Estate POSITION: Realtor START DATE: 01/2019 APPROX. HOURS/MONTH: 10 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: Real Estate Agent.....

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa Rivas's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Melissa Rivas'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®

CFP^®

Certified Financial Planner

Experience

Current

December 6, 2023 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 1101 W Washington St, Tempe, AZ 85281

RIA

CRD#: 14455

Tempe, AZ

Current

December 6, 2023 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 1101 W Washington St, Tempe, AZ 85281

RIA

CRD#: 14455

Tempe, AZ

Past

September 19, 2023 - November 13, 2023

TANDEM WEALTH ADVISORS

RIA

CRD#: 157794

PHOENIX, AZ

Past

June 17, 2015 - May 2, 2023

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

June 17, 2015 - May 2, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

June 20, 2014 - June 5, 2015

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

PHOENIX, AZ

Past

June 19, 2014 - June 5, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

December 11, 2008 - May 16, 2014

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

June 24, 2008 - December 31, 2008

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

PHOENIX, AZ

Past

September 21, 2007 - May 16, 2014

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

February 7, 2006 - December 31, 2007

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

PHOENIX, AZ

Past

May 5, 2005 - January 26, 2006

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, 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".

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(10/24/2024)

Alaska
(10/24/2024)

IAR

Arizona
(12/7/2023)

Arizona
(12/8/2023)

Arkansas
(10/24/2024)

California
(12/6/2023)

Colorado
(9/18/2024)

Connecticut
(10/24/2024)

Delaware
(10/24/2024)

District of Columbia
(10/24/2024)

Florida
(10/24/2024)

Georgia
(3/19/2024)

Hawaii
(10/24/2024)

Idaho
(9/27/2024)

Illinois
(10/24/2024)

Indiana
(10/24/2024)

Iowa
(10/24/2024)

Kansas
(10/24/2024)

Kentucky
(10/23/2024)

Louisiana
(10/24/2024)

Maine
(10/24/2024)

Maryland
(10/24/2024)

Massachusetts
(10/24/2024)

Michigan
(10/24/2024)

Minnesota
(10/24/2024)

Mississippi
(10/24/2024)

Missouri
(10/24/2024)

Montana
(10/24/2024)

Nebraska
(10/24/2024)

Nevada
(1/31/2024)

New Hampshire
(10/24/2024)

New Jersey
(2/12/2024)

New Mexico
(2/12/2024)

New York
(2/12/2024)

North Carolina
(10/24/2024)

North Dakota
(10/24/2024)

Ohio
(10/25/2024)

Oklahoma
(6/13/2024)

Oregon
(2/12/2024)

Pennsylvania
(2/12/2024)

Rhode Island
(2/12/2024)

South Carolina
(9/18/2024)

South Dakota
(10/24/2024)

Texas
(2/12/2024)

IAR

Texas
(2/12/2024)

Utah
(6/13/2024)

Vermont
(10/24/2024)

Virginia
(10/24/2024)

Washington
(2/12/2024)

West Virginia
(10/24/2024)

Wisconsin
(10/24/2024)

Wyoming
(10/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 6/4/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 6/11/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 9/7/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 5/4/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

60 Livingston Ave Ep-mn-n2wc, Saint Paul, MN 55107

Mailing Address

60 Livingston Ave Ep-mn-n2wc, St. Paul, MN 55107

Phone number

(800) 634-1100

Established

Delaware since 06/28/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

379

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USBA WRAP BROCHURE - PART 2A APPENDIX 1 (7/31/2026)

PART 2A OF FORM ADV - FINANCIAL PLANNING SERVICES (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
U.S. BANCORP	SOLE MEMBER
ARIAS, CARLOS ALONSO	MANAGER	3174333
BEJASA, EILEEN	MANAGER	7002808
CLARK, SHANNON KEITH	CHIEF FINANCIAL OFFICER AND MANAGER	5829700
FERGUSON, KIMBERLY NICOLE	MANAGER	4120145
FLOUM, JOEL IRA	MANAGER	2405754
MCCARTHY, MATTHEW RYAN	CHIEF LEGAL OFFICER	6818984
MENACHER, EILEEN RENEE	MANAGER	4929896
ROLLAND, JODI THOMPSON	PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER	2290884
SALSTROM, KYLE NORMAN	CHIEF COMPLIANCE OFFICER AND MANAGER	5025315
STEINER, STEPHEN WARD	CHIEF OPERATIONS OFFICER AND MANAGER	2259345
TRIPLETT, SHANE T	MANAGER	1865319

Regulatory assets under management

Total Number of Accounts	3,992
AUM (Assets Under Management)	$ 1,796,069,079

Disclosures

Regulatory Event	4
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/19/2025	Cover Page	Report
08/20/2024	Cover Page	Report
11/28/2023	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.

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Advisor Monitoring

Firm Stability Insights

Melissa Rivas

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa Rivas's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Melissa Rivas's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP ADVISORS, LLC

TANDEM WEALTH ADVISORS

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

USAA FINANCIAL PLANNING SERVICES

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL ADVISORS, INC.

USAA INVESTMENT SERVICES COMPANY

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Passed: 6/4/2008

Series 63

Passed: 6/11/2005

SIE

Passed: 10/1/2018

Series 7

Passed: 9/7/2006

Series 6

Passed: 5/4/2005

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

U.S. BANCORP ADVISORS, LLC

TRUST BUT VERIFY

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