DU
Dustin C. Unger
U.S. BANCORP ADVISORS
Cincinnati, OH 45211
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CRD#: 5111618
DU
Dustin Craig UngerU.S. BANCORP ADVISORS
Professional summary
Dustin Craig Unger, who also goes by Craig Unger, Dustin Unger, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Cincinnati, Ohio.
Dustin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Dustin has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Craig Unger | Dustin Unger
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) Daryle C. Unger; INVESTMENT RELATED; Greenfield, OH; Farm; Joint Owner; 1/2002; 1 hour/month; 0 hours/trading; farm upkeep. 2) Simcap Holdings; Investment-Related; Cincinnati, OH 45202; They buy 10-50 apartment complexes in the Cincinnati area and manage after purchase; No Ownership; Limited partner/investor - no decision-making ability on day-to-day activities; Limited Partner; 06/01/2023; 0 hours/month; 0 hours/trading; I am simply an investor, no day-to-day involvement in business or decision making.
CRS (Client Relationship Summary) - RIA
Click below to view Dustin Craig Unger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dustin Craig Unger'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: 6240 Glenway Ave, Cincinnati, OH 45211Office #2: 6915 State Route 128, Miamitown, OH 45041Office #3: 7433 Hamilton Ave, Cincinnati, OH 45231Office #4: 8250 Colerain Ave, Cincinnati, OH 45239Office #5: 6550 Harrison Ave, Cincinnati, OH 45247RIA
BD
CRD#: 14455
Cincinnati, OH
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 6240 Glenway Ave, Cincinnati, OH 45211Office #2: 6915 State Route 128, Miamitown, OH 45041Office #3: 7433 Hamilton Ave, Cincinnati, OH 45231Office #4: 8250 Colerain Ave, Cincinnati, OH 45239Office #5: 6550 Harrison Ave, Cincinnati, OH 45247RIA
BD
CRD#: 14455
Cincinnati, OH
Past
July 8, 2015 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Cincinnati, OH
Past
July 8, 2015 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Cincinnati, OH
Past
November 13, 2009 - June 15, 2015
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CINCINNATI, OH
Past
November 13, 2009 - June 15, 2015
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CINCINNATI, OH
Past
September 14, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
CINCINNATI, OH
Past
September 14, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CINCINNATI, OH
Past
May 18, 2006 - August 15, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CINCINNATI, OH
Past
May 17, 2006 - August 15, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CINCINNATI, OH
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
Arizona(2/13/2026)
RR
California(2/13/2026)
RR
Colorado(2/13/2026)
RR
Florida(2/17/2026)
RR
Illinois(2/13/2026)
RR
Indiana(2/13/2026)
RR
Iowa(2/13/2026)
RR
Kansas(2/13/2026)
RR
Kentucky(2/13/2026)
RR
Michigan(2/13/2026)
RR
Minnesota(2/13/2026)
RR
Missouri(2/13/2026)
RR
New Jersey(2/13/2026)
RR
North Carolina(2/13/2026)
RR
Ohio(2/13/2026)
IAR
Ohio(2/13/2026)
RR
Oregon(2/13/2026)
RR
Pennsylvania(2/13/2026)
RR
Rhode Island(2/13/2026)
RR
South Carolina(2/13/2026)
RR
Tennessee(2/13/2026)
RR
Texas(2/13/2026)
IAR
Texas(2/13/2026)
RR
Washington(2/13/2026)
RR
Wisconsin(2/13/2026)
Exams
What does exam status mean?
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 (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.
Company Information
U.S. BANCORP ADVISORS, LLC
CRD#: 14455Cincinnati, OH 45211TRUST BUT VERIFY
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