Chad Stapleton
Professional summary
Chad Stapleton, CIMA®, who also goes by Chad Stapleton, Chad Michael Stapleton, is a registered financial professional currently at U.S. BANCORP INVESTMENTS, INC. located in Denver, Colorado.
Chad is registered as a RR (Registered Representative) and started their career in finance in 2007. Chad has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Chad Stapleton's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 2, 2024 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 950 17th St, Denver, CO 80202June 9, 2023 - June 25, 2024
TRANSAMERICA CAPITAL, LLC
December 12, 2007 - June 12, 2023
JANUS HENDERSON DISTRIBUTORS US LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/2/2024)
Exams
What does exam status mean?
Series 6
Passed: 12/11/2007
FINRA
Current Firm
U.S. BANCORP INVESTMENTS, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE SHAREHOLDER | |
| BEJASA, EILEEN | CHIEF OPERATIONS OFFICER AND DIRECTOR | 7002808 |
| CHOKSHI, KIRIT VINOD | DIRECTOR | 1849164 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER AND DIRECTOR | 5829700 |
| CLARK, VANESSA L | CHIEF LEGAL OFFICER | 6563101 |
| DONNELLY, SHANNON MCCRARY | SENIOR VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2429382 |
| NAMJOSHI, NITIN SUHAS | DIRECTOR | 5902293 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 5025315 |
| SCHUMER, RONALD EDWARD | DIRECTOR | 2671949 |
| SCOTT, GEORGE MAULDIN III | DIRECTOR | 4902301 |
| WHANG, JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 65,208 |
| AUM (Assets Under Management) | $ 22,940,857,825 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 13 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 12/19/2024 | ||
| 11/21/2023 |
Red Flags
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