Stephen A. Mcglinn
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.
Stephen Anthony Mcglinn was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1977. Stephen had worked at 16 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2015 - December 14, 2015
U.S. BANCORP ADVISORS, LLC
January 16, 2015 - December 14, 2015
U.S. BANCORP ADVISORS, LLC
October 1, 2012 - June 3, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - June 3, 2014
J.P. MORGAN SECURITIES LLC
April 30, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 30, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 14, 2005 - September 5, 2007
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 8, 2003 - May 12, 2004
VOYA INVESTMENTS DISTRIBUTOR, LLC
June 30, 1999 - January 14, 2002
BOFA DISTRIBUTORS, INC.
December 14, 1998 - July 2, 1999
KEYPORT FINANCIAL SERVICES CORP.
June 12, 1992 - July 7, 1995
BA INVESTMENT SERVICES, INC.
April 11, 1990 - August 6, 1997
CAPITAL BROKERAGE CORPORATION
June 28, 1988 - March 8, 1990
R.B. MARICH, INC.
December 16, 1986 - June 22, 1988
UBS FINANCIAL SERVICES INC.
May 8, 1985 - December 22, 1986
BLINDER, ROBINSON & CO., INC.
August 22, 1984 - April 29, 1985
B. J. LEONARD AND COMPANY, INC.
June 12, 1984 - September 4, 1984
J. W. GANT & ASSOCIATES, INC.
July 6, 1977 - June 7, 1984
FIRST FINANCIAL SECURITIES, INC.
March 30, 1977 - August 18, 1977
BLINDER, ROBINSON & CO., INC.
March 1, 1977 - April 3, 1978
DOUGLASS & CO. INCORPORATED
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
Current 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.
