Barry G. Ingersol
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.
Barry Gordon Ingersol was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1980. Barry had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 51, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2008 - December 4, 2015
U.S. BANCORP ADVISORS, LLC
May 23, 2008 - December 4, 2015
U.S. BANCORP ADVISORS, LLC
November 2, 2006 - December 17, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
November 2, 2006 - December 17, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
May 2, 2005 - May 8, 2006
CETERA WEALTH SERVICES, LLC
April 15, 2005 - May 8, 2006
CETERA WEALTH SERVICES, LLC
October 17, 2002 - January 21, 2005
INVESTMENT ARCHITECTS, INC.
May 10, 2000 - October 25, 2000
IDS LIFE INSURANCE COMPANY
May 10, 2000 - October 25, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
July 23, 1999 - May 10, 2000
MML DISTRIBUTORS, LLC
September 17, 1998 - April 5, 1999
VP DISTRIBUTORS LLC
February 18, 1997 - April 2, 1998
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 25, 1996 - December 18, 1996
ICON DISTRIBUTORS, INC.
September 27, 1994 - August 29, 1995
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 5, 1992 - October 23, 1992
MERRIMAN CAPITAL, INC.
May 8, 1990 - August 2, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 19, 1983 - August 22, 1989
CETERA WEALTH SERVICES, LLC
July 27, 1981 - July 7, 1983
FSC SECURITIES CORPORATION
February 8, 1980 - August 3, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
Primary Firm SEC Registration
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/28/1980
Registered Representative ExaminationCurrent Firm
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
Contact information
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.
