RS
Richard F. Spadafora
U.S. BANCORP ADVISORS
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 5276971
RS
Professional summary
Richard F Spadafora, who also goes by Richard Francis Spadafora, Richard Spadafora, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in New York, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Francis Spadafora | Richard Spadafora
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Richard F Spadafora's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard F Spadafora'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: 3 Bryant Park 1095 Avenue Of The Americas, New York, NY 10036RIA
BD
CRD#: 14455
NEW YORK, NY
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 3 Bryant Park 1095 Avenue Of The Americas, New York, NY 10036RIA
BD
CRD#: 14455
NEW YORK, NY
Past
May 23, 2023 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
NEW YORK, NY
Past
May 23, 2023 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
NEW YORK, NY
Past
May 12, 2022 - May 16, 2023
MORGAN STANLEY
RIA
CRD#: 149777
New York, NY
Past
May 12, 2022 - May 16, 2023
MORGAN STANLEY
BD
CRD#: 149777
New York, NY
Past
October 26, 2021 - April 23, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WOODBURY, NY
Past
October 26, 2021 - April 23, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WOODBURY, NY
Past
June 22, 2021 - October 18, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GARDEN CITY, NY
Past
June 21, 2021 - October 18, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GARDEN CITY, NY
Past
May 18, 2017 - April 19, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MELVILLE, NY
Past
May 8, 2017 - April 19, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MELVILLE, NY
Past
August 31, 2007 - May 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
August 31, 2007 - May 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 1, 2007 - September 10, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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".
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
New York(2/13/2026)
IAR
New York(2/13/2026)
Exams
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 (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
Large
# of Employees
244
SEC notice filing (51 States and Territories)
FINRA licenses (51 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.
