AL
Alexander F. Leri
U.S. BANCORP INVESTMENTS
Colorado Springs, CO 80903
Some features on this profile are disabled
CRD#: 5886051
AL
Professional summary
Alexander Francis Leri, who also goes by Alex Leri, Alexander F Leri, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Colorado Springs, Colorado.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Alexander has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex Leri | Alexander F Leri
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) Rental Real Estate; Investment-related; Pueblo, CO; Rental Real Estate; Landlord; Owned by Spouse; 10/2022; 2 hours/ month; 0 hours/ trading; Collect rent, arrange for maintenance, repairs, and improvements to property. 2) Rental Real Estate; Investment-related; Pueblo, CO; Rental Real Estate; Landlord; Owner; 01/2012; 1 hours/ month; 0 hours/ trading; Collect rent, arrange for maintenance, repairs, and improvements to property. 3) Hans Gruber Holdings, LLC; Investment-related; Pueblo, CO; Rental real estate; Landlord; Single member of LLC; 11/2024; 1 hour/month; 0 hours/trading; Collect rent, arrange for maintenance, repairs & improvements to property.
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Francis Leri's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexander Francis Leri'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
December 20, 2023 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: Six S Tejon St, Colorado Springs, CO 80903Office #2: 2308 E Pikes Peak Ave, Colorado Springs, CO 80909Office #3: 815 Cheyenne Meadows Rd, Colorado Springs, CO 80906Office #4: 1625 Mesa Ridge Pkwy, Fountain, CO 80817Office #5: 3330 N Elizabeth St, Pueblo, CO 81008Office #6: 1851 S Pueblo Blvd, Pueblo, CO 81005Office #7: 1130 Bonaforte Rd, Pueblo, CO 81001RIA
BD
CRD#: 17868
Colorado Springs, CO
Current
December 20, 2023 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: Six S Tejon St, Colorado Springs, CO 80903Office #2: 2308 E Pikes Peak Ave, Colorado Springs, CO 80909Office #3: 815 Cheyenne Meadows Rd, Colorado Springs, CO 80906Office #4: 1625 Mesa Ridge Pkwy, Fountain, CO 80817Office #5: 3330 N Elizabeth St, Pueblo, CO 81008Office #6: 1851 S Pueblo Blvd, Pueblo, CO 81005Office #7: 1130 Bonaforte Rd, Pueblo, CO 81001RIA
BD
CRD#: 17868
Colorado Springs, CO
Past
May 23, 2020 - December 22, 2023
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Lone Tree, CO
Past
May 23, 2020 - December 22, 2023
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Lone Tree, CO
Past
January 8, 2018 - May 24, 2020
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
Colorado Springs, CO
Past
March 25, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
Pueblo, CO
Past
January 30, 2012 - April 5, 2013
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
COLORADO SPRINGS, CO
Past
March 7, 2011 - May 24, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
COLORADO SPRINGS, CO
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
Arizona(9/5/2025)
RR
Colorado(12/20/2023)
IAR
Colorado(12/20/2023)
RR
Minnesota(3/13/2025)
RR
New Mexico(3/13/2025)
RR
Texas(8/6/2025)
IAR
Texas(8/6/2025)
RR
Utah(10/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
U.S. BANCORP INVESTMENTS, INC.
CRD#: 17868Colorado Springs, CO 80903TRUST BUT VERIFY
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