JP
John E. Penshorn
U.S. BANCORP INVESTMENTS
Saint Paul, MN 55107
Some features on this profile are disabled
CRD#: 827873
JP
Professional summary
John Edward Penshorn, who also goes by John Penshorn, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Saint Paul, Minnesota.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. John has worked at 18 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Penshorn
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 John Edward Penshorn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Edward Penshorn'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
January 5, 2010 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 60 Livingston Ave, Saint Paul, MN 55107RIA
BD
CRD#: 17868
Saint Paul, MN
Current
January 5, 2010 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 60 Livingston Ave, Saint Paul, MN 55107RIA
BD
CRD#: 17868
Saint Paul, MN
Past
May 27, 2009 - December 23, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
BLOOMINGTON, MN
Past
May 11, 2009 - December 23, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
BLOOMINGTON, MN
Past
January 24, 2008 - September 12, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
SAINT PAUL, MN
Past
November 27, 2006 - February 5, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
SAINT PAUL, MN
Past
December 3, 2004 - December 31, 2006
TCF INVESTMENTS, INC.
BD
CRD#: 34954
ROSEVILLE, MN
Past
March 7, 2003 - June 15, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
January 13, 2003 - February 10, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 13, 2003 - February 10, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
May 23, 2001 - January 16, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 23, 2001 - January 16, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
October 6, 2000 - May 25, 2001
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
October 7, 1994 - November 10, 1999
TUSCHNER & COMPANY, INC.
BD
CRD#: 36037
ST. CLOUD, MN
Past
July 19, 1993 - July 13, 1994
HAMILTON INVESTMENTS, INC.
BD
CRD#: 821
Past
May 8, 1991 - July 19, 1993
CRAIG-HALLUM, INC.
BD
CRD#: 1546
Past
May 27, 1980 - December 18, 1990
CRAIG-HALLUM, INC.
BD
CRD#: 1546
Past
October 11, 1978 - January 28, 1983
J. P. HOLDAHL & ASSOC., INC.
BD
CRD#: 7693
Past
January 16, 1978 - November 17, 1978
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
BD
CRD#: 7449
Past
February 28, 1977 - January 9, 1978
MILLER JOHNSON STEICHEN KINNARD, INC.
BD
CRD#: 694
Past
September 22, 1976 - March 25, 1977
SHAUGHNESSY & COMPANY, INC.
BD
CRD#: 3380
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 INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Alabama(1/15/2010)
RR
Alaska(1/15/2010)
RR
Arizona(1/19/2010)
RR
Arkansas(1/15/2010)
RR
California(1/19/2010)
RR
Colorado(1/19/2010)
RR
Connecticut(1/15/2010)
RR
Delaware(1/15/2010)
RR
District of Columbia(1/27/2010)
RR
Florida(1/20/2010)
RR
Georgia(1/15/2010)
RR
Hawaii(1/14/2010)
RR
Idaho(1/15/2010)
RR
Illinois(1/15/2010)
RR
Indiana(1/15/2010)
RR
Iowa(1/19/2010)
RR
Kansas(1/14/2010)
RR
Kentucky(1/15/2010)
RR
Louisiana(1/21/2010)
RR
Maine(1/19/2010)
RR
Maryland(1/19/2010)
RR
Massachusetts(1/15/2010)
RR
Michigan(1/28/2010)
RR
Minnesota(1/5/2010)
IAR
Minnesota(12/13/2013)
RR
Mississippi(1/20/2010)
RR
Missouri(1/15/2009)
RR
Montana(1/15/2010)
RR
Nebraska(1/20/2010)
RR
Nevada(1/27/2010)
RR
New Hampshire(1/15/2010)
RR
New Jersey(1/15/2010)
RR
New Mexico(1/19/2010)
RR
New York(1/15/2010)
RR
North Carolina(1/26/2010)
RR
North Dakota(1/15/2010)
RR
Ohio(1/15/2010)
RR
Oklahoma(2/2/2010)
RR
Oregon(1/15/2010)
RR
Pennsylvania(1/15/2010)
RR
Puerto Rico(1/19/2010)
RR
Rhode Island(1/15/2010)
RR
South Carolina(1/19/2010)
RR
South Dakota(1/19/2010)
RR
Tennessee(1/15/2010)
RR
Texas(2/5/2010)
RR
Utah(1/19/2010)
RR
Vermont(1/19/2010)
RR
Virginia(1/19/2010)
RR
Washington(1/14/2010)
RR
West Virginia(1/26/2010)
RR
Wisconsin(1/14/2010)
RR
Wyoming(1/14/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 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 INVESTMENTS, INC.
CRD#: 17868Saint Paul, MN 55107TRUST BUT VERIFY
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Contact information
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