Nicholas Steven Proksch

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Contact Information

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Disclosures on record.

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.

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Years of Experience

8 years registered in the securities industry

Current & Past Employments

Current

U.S. BANCORP ADVISORS, LLCCurrent·CRD# 14455

RIA

BD

1. 420 E Main St, Aspen, CO 816112. 1901 Grand Ave, Glenwood Springs, CO 816013. 704 E Anemone Trl, Dillon, CO 804354. 15 Benchmark Rd, Avon, CO 816205. 2922 Evergreen Pkwy, Evergreen, CO 804396. 1801 Jackson, Golden, CO 804017. 2555 S Colorado Blvd, Denver, CO 802228. 1640 Grand Ave, Norwood, CO 814239. 3480 W 38th Ave, Denver, CO 8021110. 238 E Colorado Ave, Telluride, CO 81435

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLCCurrent·CRD# 14455

RIA

BD

1. 420 E Main St, Aspen, CO 816112. 1901 Grand Ave, Glenwood Springs, CO 816013. 704 E Anemone Trl, Dillon, CO 804354. 15 Benchmark Rd, Avon, CO 816205. 2922 Evergreen Pkwy, Evergreen, CO 804396. 1801 Jackson, Golden, CO 804017. 2555 S Colorado Blvd, Denver, CO 802228. 1640 Grand Ave, Norwood, CO 814239. 3480 W 38th Ave, Denver, CO 8021110. 238 E Colorado Ave, Telluride, CO 81435

February 13, 2026 - Present

Past

U.S. BANCORP INVESTMENTS, INC.Past·CRD# 17868

RIA

Evergreen, CO

May 29, 2024 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.Past·CRD# 17868

BD

Evergreen, CO

March 19, 2018 - February 13, 2026

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Current Firm

UB

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 (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

60 Livingston Ave Ep-mn-n2wc, Saint Paul, MN 55107

Mailing Address

60 Livingston Ave Ep-mn-n2wc, St. Paul, MN 55107

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

379

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

USBA WRAP BROCHURE - PART 2A APPENDIX 1 (7/31/2026)

PART 2A OF FORM ADV - FINANCIAL PLANNING SERVICES (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
U.S. BANCORP	SOLE MEMBER	—
ARIAS, CARLOS ALONSO	MANAGER	3174333
BEJASA, EILEEN	MANAGER	7002808
CLARK, SHANNON KEITH	CHIEF FINANCIAL OFFICER AND MANAGER	5829700
FERGUSON, KIMBERLY NICOLE	PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER	4120145
FLOUM, JOEL IRA	MANAGER	2405754
MCCARTHY, MATTHEW RYAN	CHIEF LEGAL OFFICER	6818984
MENACHER, EILEEN RENEE	MANAGER	4929896
SALSTROM, KYLE NORMAN	CHIEF COMPLIANCE OFFICER AND MANAGER	5025315
STEINER, STEPHEN WARD	CHIEF OPERATIONS OFFICER AND MANAGER	2259345
TRIPLETT, SHANE T	MANAGER	1865319

Regulatory Assets Under Management

Total Number of Accounts

3,992

AUM (Assets Under Management)

$1,796,069,079

Disclosures

Regulatory Event

4

Arbitration

1

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2026	Cover Page	Report
09/19/2025	Cover Page	Report
08/20/2024	Cover Page	Report
11/28/2023	Cover Page	Report
11/21/2023	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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

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 (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(2/13/2026)

RR

Arizona
(2/13/2026)

RR

California
(2/13/2026)

RR

Colorado
(2/13/2026)

IAR

Colorado
(2/13/2026)

RR

Florida
(2/17/2026)

RR

Georgia
(2/13/2026)

RR

Michigan
(2/13/2026)

RR

New Mexico
(2/13/2026)

RR

New York
(2/13/2026)

RR

Pennsylvania
(2/13/2026)

RR

Texas
(2/13/2026)

IAR

Texas
(2/13/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.