JP
Jacob T. Puzio
U.S. BANCORP ADVISORS
Denver, CO 80206
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CRD#: 4944461
JP
Jacob Thomas Puzio IVU.S. BANCORP ADVISORS
Professional summary
Jacob Thomas Puzio IV, who also goes by Jacob Thomas Puzio, Jacob Puzio, Tom Puzio, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Denver, Colorado.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Jacob has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Aliases
Jacob Thomas Puzio | Jacob Puzio | Tom Puzio
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.
Brighton High School Athletic Department - Boys Golf Assistant Coach; Not Investment-related; Brighton, CO; High School Golf Team Coach; Assistant Coach; 08/2021; 20 hours/month; 0 hours/trading; Assistant coach for golf team. Practice planning, tournament coaching.
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Thomas Puzio IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacob Thomas Puzio IV'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
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 200 University Blvd, Denver, CO 80206RIA
BD
CRD#: 14455
Denver, CO
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 200 University Blvd, Denver, CO 80206RIA
BD
CRD#: 14455
Denver, CO
Past
March 17, 2021 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Denver, CO
Past
March 17, 2021 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Denver, CO
Past
November 1, 2019 - March 23, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BRIGHTON, CO
Past
October 14, 2019 - March 23, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BRIGHTON, CO
Past
July 18, 2012 - April 17, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LOUISVILLE, CO
Past
June 15, 2012 - July 10, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LOUISVILLE, CO
Past
June 15, 2012 - April 17, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LOUISVILLE, CO
Past
April 13, 2009 - June 19, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
THORNTON, CO
Past
July 6, 2005 - June 19, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
THORNTON, CO
Past
May 4, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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 (Kansas City 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
Colorado(2/13/2026)
IAR
Colorado(2/13/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Passed: 10/12/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 5/3/2005
Investment Company Products/Variable Contracts Representative Examination
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 (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)
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 | ||
| 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.
