Access the Monthly SEC Rule 605 reports here: https://public.s3.com/rule605/mkti/
Client relationship summary
U.S. Bancorp Advisors is registered with the Securities and Exchange Commission as both a broker-dealer and an investment adviser. To understand how brokerage and investment advisory services and fees differ refer to the Client Relationship Summary.
Guide to Brokerage Recommendations: A Best Interest Disclosure
This disclosure covers recommendations we make to you with respect to your brokerage accounts with us. It contains important information about our brokerage services, costs and fees, and conflicts of interest. Guide to Brokerage Recommendations: A Best Interest Disclosure.
Municipal securities education and protection
U.S. Bancorp Advisors is registered with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board (MSRB). An investor brochure that describes the protections that may be provided to you by the MSRB rules and how to file a complaint with an appropriate regulatory authority is available to you on the MSRB website at www.msrb.org.
SIPC protection
U.S. Bancorp Advisors is a member of SIPC (Securities Investor Protection Corporation) which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). Customers may obtain information about SIPC, including the explanatory brochure, by accessing the SIPC website at www.sipc.org or upon request by telephone at 202-371-8300.
Statement of financial condition
Pursuant to the Securities Exchange Act of 1934, U.S. Bancorp Advisors must provide clients with certain financial information. The U.S. Bancorp Advisor Statement of Financial Condition is available for you to review, print and download.
Sweep program
Under the U.S. Bancorp Advisors Sweep Program, uninvested cash balances are swept into a cash account offered by U.S. Bancorp Advisors until these balances are invested or otherwise needed. For brokerage (i.e., non-advisory) accounts, U.S. Bancorp Advisors automatically deposits, or “sweeps,” these available cash balances into one or more interest-bearing deposit accounts at U.S. Bank National Association, an FDIC insured bank affiliated with U.S. Bancorp Advisors. See the Sweep Program interest rates and Sweep Program Disclosure Statement.
Under the U.S. Securities and Exchange Commission’s (SEC) Rule 606, broker-dealers are required to disclose statistical reports with specific information about their order routing practices for non-directed orders in NMS stocks and option contracts in NMS securities on a quarterly basis. See the reports listed below for U.S. Bancorp Advisors (USBA).
2026 reports
2025 reports
2024 reports
Account agreements, forms and disclosures
Self-directed investing specific forms and information
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Disclosures
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