AC
Andy A. Cortes
U.S. BANCORP ADVISORS
Century City, CA 90067
Some features on this profile are disabled
CRD#: 6656299
AC
Professional summary
Andy Alexander Cortes, who also goes by Andy A Cortes, Andy Cortes, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Century City, California.
Andy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Andy has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy A Cortes | Andy Cortes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Andy Alexander Cortes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andy Alexander Cortes'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
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 1800 Ave Of The Stars, Century City, CA 90067Office #2: 3302 Pico Blvd, Santa Monica, CA 90405Office #3: 2232 Santa Monica Blvd, Santa Monica, CA 90404Office #4: 5399 Sepulveda Blvd, Culver City, CA 90230Office #5: 4700 Lincoln Blvd, Marina Del Rey, CA 90292Office #6: 1401 Pacific Coast Hwy, Hermosa Beach, CA 90254Office #7: 10900 Wilshire Blvd Ste 101, Los Angeles, CA 90024RIA
BD
CRD#: 14455
Century City, CA
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 1800 Ave Of The Stars, Century City, CA 90067Office #2: 3302 Pico Blvd, Santa Monica, CA 90405Office #3: 2232 Santa Monica Blvd, Santa Monica, CA 90404Office #4: 5399 Sepulveda Blvd, Culver City, CA 90230Office #5: 4700 Lincoln Blvd, Marina Del Rey, CA 90292Office #6: 1401 Pacific Coast Hwy, Hermosa Beach, CA 90254Office #7: 10900 Wilshire Blvd Ste 101, Los Angeles, CA 90024RIA
BD
CRD#: 14455
Century City, CA
Past
August 7, 2023 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Culver City, CA
Past
August 7, 2023 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Culver City, CA
Past
March 19, 2021 - August 11, 2023
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NORWALK, CA
Past
August 12, 2016 - August 11, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NORWALK, 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 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
Arizona(2/13/2026)
RR
California(2/13/2026)
IAR
California(2/13/2026)
RR
Florida(2/16/2026)
RR
Iowa(2/13/2026)
RR
Kansas(2/13/2026)
RR
Nevada(2/13/2026)
RR
New York(2/13/2026)
RR
South Carolina(2/13/2026)
RR
Tennessee(2/13/2026)
RR
Washington(2/13/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/3/2020
General Securities Representative ExaminationGeneral 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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
800 N Brand Blvd. 16th Floor Ep-mn-n2wc, Saint Paul, MN, 55107
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
Large
# of Employees
244
SEC notice filing (52 States and Territories)
FINRA licenses (51 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.
