RM
Romeo Mortera
U.S. BANCORP ADVISORS
Park City, UT 84060
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CRD#: 8031824
RM
Romeo MorteraU.S. BANCORP ADVISORS
Professional summary
Romeo Mortera, who also goes by Ric Mortera, Romeo Ricardo Mortera, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Park City, Utah.
Romeo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Romeo has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Ric Mortera | Romeo Ricardo Mortera
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 Romeo Mortera's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Romeo Mortera'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
June 23, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 1514 Park Ave, Park City, UT 84060Office #2: 4701 W 2100 S, Salt Lake City, UT 84120Office #3: 4135 S Redwood Rd, Salt Lake City, UT 84123Office #4: 5710 W 7800 S, West Jordan, UT 84084Office #5: 8100 S State St, Midvale, UT 84047Office #6: 2243 E 2100 S, Salt Lake City, UT 84109RIA
BD
CRD#: 14455
Park City, UT
Current
June 23, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 1514 Park Ave, Park City, UT 84060Office #2: 4701 W 2100 S, Salt Lake City, UT 84120Office #3: 4135 S Redwood Rd, Salt Lake City, UT 84123Office #4: 5710 W 7800 S, West Jordan, UT 84084Office #5: 8100 S State St, Midvale, UT 84047Office #6: 2243 E 2100 S, Salt Lake City, UT 84109RIA
BD
CRD#: 14455
Park City, UT
Past
February 12, 2026 - June 5, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Bellevue, WA
Past
December 1, 2025 - June 5, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Bellevue, WA
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
Utah(6/23/2026)
IAR
Utah(6/24/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/1/2025
General Securities Representative ExaminationGeneral 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)
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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)
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.
Company Information
U.S. BANCORP ADVISORS, LLC
CRD#: 14455Park City, UT 84060TRUST BUT VERIFY
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