JS
John N. Sinnema
U.S. BANCORP INVESTMENTS
Woodland Hills, CA 91367
Some features on this profile are disabled
CRD#: 5474833
JS
Professional summary
John Nathan Sinnema is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Woodland Hills, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. John has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Glendale & Wilson L.P./ AKS Property Investments; Investment-Related; Glendale, CA; Passive Real estate Investment; 8% of apartment building; Limited Partner- non manager; 2016; 0 hour/month; 0 hours/trading; No duties 2) California State University Northridge Foundation; Investment-related; Northridge, CA; Volunteer Service on the Board of Trustees; Co-Chair Finance & Investment Committee and Member of the Board Development Committee; Co-Chair/Trustee 10/2022; 2 hours/ month; 0 hours/ trading; Providing guidance, along with other trustees, to Foundation employees and leadership. Helping to create awareness around CSUN strategic initiatives. With new committee leadership, I will help lead the Finance and Investment Committee. The committee is made up of other volunteer board members as well as the President and CFO. 3) California Science Center Foundation; Investment-related; Los Angeles, CA; Volunteer community service supporting the California Science Center; Chair of the Board of Trustees; 08/2025; 6 hours/ month; 0 hours/ trading; Governance of the Foundation. 4) North Valley YMCA Board of Managers; Non Investment-related; Porter Ranch, CA; Volunteer Non-profit Organization Board Service; Board Member; 07/2021; 4 hours/ month; 4 hours/ trading; Chair board of managers as well as the following: Board development committee, annual fundraising campaign committee. 5) YMCA of Metropolitan Los Angeles; Not investment-related; Los Angeles, CA; Community Service, Healthy Living, Youth Development, Community Improvement; Chairman, Board of Governors; 9/2023; 2 hours/month; 0 hours/trading; Volunteer Chair the YMCA of Metropolitan Los Angeles Board of Governors. The Board serves as the primary feedback vehicle for the 27 YMCA Branches in Los Angeles to the Metro Organization. 6) Los Angeles Philharmonic Board of Directors; not investment-related; Los Angeles, CA; Orchestra and music organization serving LA; Director, Volunteer Board of Director Services; 12/2024; 2 hours/month; 0 hours/trading; Nominated to serve as director on the Los Angeles Philharmonic Board of Directors. This will be unpaid volunteer service representing U.S. Bank.
CRS (Client Relationship Summary) - RIA
Click below to view John Nathan Sinnema's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Nathan Sinnema'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
September 5, 2018 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 21700 Oxnard St Suite 1930, Woodland Hills, CA 91367RIA
BD
CRD#: 17868
Woodland Hills, CA
Current
September 4, 2018 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 60 Livingston Ave, Saint Paul, MN 55107RIA
BD
CRD#: 17868
Saint Paul, MN
Past
October 9, 2014 - August 14, 2018
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
BEVERLY HILLS, CA
Past
October 9, 2014 - August 14, 2018
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
BEVERLY HILLS, CA
Past
February 26, 2014 - August 15, 2014
CITY NATIONAL SECURITIES, INC.
RIA
CRD#: 103705
LOS ANGELES, CA
Past
December 8, 2011 - August 15, 2014
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
LOS ANGELES, CA
Past
March 24, 2008 - November 29, 2011
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
LOS ANGELES, CA
Past
February 5, 2008 - November 29, 2011
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
LOS ANGELES, CA
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 INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 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
California(9/4/2018)
IAR
California(9/5/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 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.
