John J. Moriarty
U.S. BANCORP INVESTMENTS | Financial Advisor
Louisville, KY 40220
Some features on this profile are disabled
CRD#: 6212857
Professional summary
John Joseph Moriarty, who also goes by John J Moriarty, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Louisville, Kentucky.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. John has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Investment Management
Retirement Planning Strategies
Military Financial Advisor
Are you a "fiduciary"?
Yes
Aliases
John J Moriarty
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.) Forest Springs HOA; Not investment-related; Louisville, KY; Neighborhood Homeowners' Association; Board member; Resident of the Forest Springs neighborhood; 9/2024; 6 hours/month; 0 hours/trading; Attending monthly board meetings, potentially serving on board sub-committees, etc.
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Moriarty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Joseph Moriarty'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 6, 2023 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 3095 Breckenridge Ln, Louisville, KY 40220Office #2: 2750 Allison Ln, Jeffersonville, IN 47130Office #3: 3501 Springhurst Comn Dr, Louisville, KY 40241Office #4: 4951 Brownsboro Rd, Louisville, KY 40222Office #5: 3808 Lexington Rd, Louisville, KY 40207Office #6: 4021 Dixie Hwy, Louisville, KY 40216Office #7: 2115 E Spring St, New Albany, IN 47150Office #8: 9905 Dixie Hwy, Louisville, KY 40272RIA
BD
CRD#: 17868
Louisville, KY
Current
December 6, 2023 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 3095 Breckenridge Ln, Louisville, KY 40220Office #2: 2750 Allison Ln, Jeffersonville, IN 47130Office #3: 3501 Springhurst Comn Dr, Louisville, KY 40241Office #4: 4951 Brownsboro Rd, Louisville, KY 40222Office #5: 3808 Lexington Rd, Louisville, KY 40207Office #6: 4021 Dixie Hwy, Louisville, KY 40216Office #7: 2115 E Spring St, New Albany, IN 47150Office #8: 9905 Dixie Hwy, Louisville, KY 40272RIA
BD
CRD#: 17868
Louisville, KY
Past
September 9, 2021 - December 12, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Louisville, KY
Past
September 8, 2021 - December 12, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Louisville, KY
Past
May 11, 2021 - July 20, 2021
WEALTHMD CORPORATION
RIA
CRD#: 140498
LOUISVILLE, KY
Past
June 22, 2020 - September 9, 2020
TLG ADVISORS, INC.
RIA
CRD#: 111052
Louisville, KY
Past
June 22, 2020 - September 9, 2020
THE LEADERS GROUP, INC.
BD
CRD#: 37157
Louisville, KY
Past
December 11, 2018 - January 2, 2020
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LOUISVILLE, KY
Past
December 11, 2018 - January 2, 2020
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LOUISVILLE, KY
Past
April 27, 2017 - December 5, 2018
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
COLUMBUS, OH
Past
March 29, 2017 - December 5, 2018
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
COLUMBUS, OH
Past
December 2, 2014 - April 5, 2017
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
JEFFERSONVILLE, IN
Past
December 2, 2014 - April 5, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
JEFFERSONVILLE, IN
Past
August 20, 2013 - November 17, 2014
MORGAN STANLEY
RIA
CRD#: 149777
LOUISVILLE, KY
Past
July 24, 2013 - November 17, 2014
MORGAN STANLEY
BD
CRD#: 149777
LOUISVILLE, KY
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(12/6/2023)
RR
Colorado(12/6/2023)
RR
Florida(4/22/2024)
RR
Indiana(12/6/2023)
RR
Kentucky(12/6/2023)
IAR
Kentucky(12/6/2023)
RR
New Jersey(1/17/2025)
RR
North Carolina(5/6/2024)
RR
Ohio(12/6/2023)
RR
Texas(12/6/2023)
RR
Utah(12/6/2023)
RR
Wisconsin(5/6/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Financial AdvisorCRD#: 17868Louisville, KY 40220TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
