Thomas A. Broderick

U.S. BANCORP ADVISORS

Cincinnati, OH 45226

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CRD#: 710271

Professional summary

Thomas Anthony Broderick, who also goes by Thomas A Broderick, is a registered financial professional currently at U.S. BANCORP ADVISORS, LLC located in Cincinnati, Ohio.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas A Broderick

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Anthony Broderick's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 5065 Wooster Rd, Cincinnati, OH 45226

RIA

CRD#: 14455

Cincinnati, OH

Past

February 1, 2017 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

Cincinnati, OH

Past

November 24, 2009 - December 31, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

COVINGTON, KY

Past

December 3, 2007 - December 1, 2016

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

Past

April 12, 2007 - September 12, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

COVINGTON, KY

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.

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

Alabama
(2/13/2026)

Alaska
(2/13/2026)

Arizona
(2/13/2026)

Arkansas
(2/13/2026)

California
(2/13/2026)

Colorado
(2/13/2026)

Connecticut
(2/13/2026)

Delaware
(2/13/2026)

District of Columbia
(2/13/2026)

Florida
(2/17/2026)

Georgia
(2/13/2026)

Hawaii
(2/13/2026)

Idaho
(2/13/2026)

Illinois
(2/13/2026)

Indiana
(2/13/2026)

Iowa
(2/13/2026)

Kansas
(2/13/2026)

Kentucky
(2/13/2026)

Louisiana
(2/13/2026)

Maine
(2/13/2026)

Maryland
(2/13/2026)

Massachusetts
(2/13/2026)

Michigan
(2/13/2026)

Minnesota
(2/13/2026)

Mississippi
(2/13/2026)

Missouri
(2/13/2026)

Montana
(2/13/2026)

Nebraska
(2/13/2026)

Nevada
(2/13/2026)

New Hampshire
(2/13/2026)

New Jersey
(2/13/2026)

New Mexico
(2/13/2026)

New York
(2/13/2026)

North Carolina
(2/13/2026)

North Dakota
(2/13/2026)

Ohio
(2/13/2026)

Oklahoma
(2/13/2026)

Oregon
(2/13/2026)

Pennsylvania
(2/13/2026)

Rhode Island
(2/13/2026)

South Carolina
(2/13/2026)

South Dakota
(2/13/2026)

Tennessee
(2/13/2026)

Texas
(2/13/2026)

Utah
(2/13/2026)

Vermont
(2/13/2026)

Virginia
(2/13/2026)

Washington
(2/13/2026)

West Virginia
(2/13/2026)

Wisconsin
(2/13/2026)

Wyoming
(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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/23/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/19/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/30/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/11/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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 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

Large

# of Employees

244

SEC notice filing (51 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

USBA WRAP BROCHURE - PART 2A APPENDIX 1 - 12/12/2025 (12/12/2025)

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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Thomas A. Broderick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Anthony Broderick's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP INVESTMENTS, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/23/2009

Series 63

Date: 6/19/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/30/2007

Series 6

Date: 4/11/2007

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (51 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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