LM
Luu E. Mathias
U.S. BANCORP ADVISORS
Folsom, CA 95630
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CRD#: 6619801
LM
Professional summary
Luu Elizabeth Mathias, who also goes by Luu E Mathias, Luu Elizabeth Mathias, Lulu Elizabeth Pitkonen, Luu E Pitkonen, Luu Elizabeth Pitkonen, Luu Pitkonen, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Folsom, California.
Luu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Luu has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Luu E Mathias | Luu Elizabeth Mathias | Lulu Elizabeth Pitkonen | Luu E Pitkonen | Luu Elizabeth Pitkonen | Luu Pitkonen
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.
Entity Name: RLM Properties LLC Investment related: No Address: RLM Properties LLC Scottsdale AZ 85251 we are converting our long term rental into an Air BnB and VRBO. My husband Rory Mathias is the Sole owner of the LLC and will be managing it. Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 09/01/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Air Bnb, VRBO. My husband is the Sole owner of the LLC and will be managing it. I will assist in communicating with renters if my husband is not available, along with communicating with house cleaners and home maintenance people. I do not expect to be helping too much because my husband has all the contacts and is always readily available. 1) Northwest Sales Solution, LLC; not investment-related; Kent, WA; Construction and Heavy Equipment Sales and Service; Owner; 3/5/2021; 20 hours/month; 0 hours/trading; administrative.
CRS (Client Relationship Summary) - RIA
Click below to view Luu Elizabeth Mathias's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Luu Elizabeth Mathias'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
May 29, 2025 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 521 E. Bidwell St., Folsom, CA 95630Office #2: 3217 Zinfandel Dr., Rancho Cordova, CA 95670Office #3: 1900 Prairie City Rd, Folsom, CA 95630RIA
BD
CRD#: 14455
Folsom, CA
Current
May 29, 2025 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 521 E. Bidwell St., Folsom, CA 95630Office #2: 3217 Zinfandel Dr., Rancho Cordova, CA 95670Office #3: 1900 Prairie City Rd, Folsom, CA 95630RIA
BD
CRD#: 14455
Folsom, CA
Past
July 14, 2023 - May 28, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
GRANITE BAY, CA
Past
July 13, 2023 - May 28, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
GRANITE BAY, CA
Past
November 1, 2019 - November 10, 2022
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
BURIEN, WA
Past
June 14, 2017 - November 10, 2022
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
BURIEN, WA
Past
December 9, 2016 - March 6, 2017
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
SPOKANE VALLEY, WA
Past
May 17, 2016 - November 10, 2016
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
MCLEAN, VA
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
California(5/29/2025)
IAR
California(5/29/2025)
Exams
State Security Law Exam
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
Medium
# of Employees
244
SEC notice filing (51 States and Territories)
FINRA licenses (52 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.
Company Information
U.S. BANCORP ADVISORS, LLC
CRD#: 14455Folsom, CA 95630TRUST BUT VERIFY
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