Sean D. Alter

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CRD#: 7011371

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sean Daniel Alter, who also goes by Sean Alter, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2019. Sean had worked at 4 firms and has passed the Series 63, Series 66, Series 7TO and SIE exams.

Aliases

Sean Alter

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) Alter Music; Not Investment-Related; Apple Valley, MN; This is a small operation I do for friends and a few clients a year for sound recording.; Owner; Sound Engineer; 10/15/2014; 02 hours/month; 0 hours/trading; Recording, mixing and mastering. 2) Apple Valley Fire Department; Not Investment-related; Apple Valley, MN; City Organization; Firefighter; 09/02/2019; 12 hours/month; 1 hours/trading; Responding to emergency 911 calls for fire, gas leaks, emergency medical, car accidents and other emergencies.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 8, 2026 - August 10, 2026

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

Hopkins, MN

Past

June 8, 2026 - August 10, 2026

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

Hopkins, MN

Past

August 5, 2022 - July 3, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

APPLE VALLEY, MN

Past

August 5, 2022 - July 3, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

APPLE VALLEY, MN

Past

March 3, 2022 - July 25, 2022

UAK DIVERSIFIED WEALTH ADVISORS

RIA

CRD#: 300506

EAGAN, MN

Past

June 4, 2019 - August 13, 2020

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

BURNSVILLE, MN

Past

May 3, 2019 - August 13, 2020

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

BURNSVILLE, MN

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".

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)

Broker-Dealer Firm Regulated by FINRA (Los Angeles 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 7/9/2026

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/3/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/3/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/18/2019

Securities Industry Essentials Examination

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV - FINANCIAL PLANNING SERVICES (2/16/2026)

USBA WRAP BROCHURE - PART 2A APPENDIX 1 (2/16/2026)

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	Cover Page	Report
08/20/2024	Cover Page	Report
11/28/2023	Cover Page	Report
11/21/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Sean D. Alter

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

U.S. BANCORP ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UAK DIVERSIFIED WEALTH ADVISORS

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/9/2026

Series 66

Date: 6/3/2019

Series 7TO

Date: 5/3/2019

SIE

Date: 1/18/2019

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

U.S. BANCORP ADVISORS, LLC

TRUST BUT VERIFY

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