CRD #17868 · FINRA BrokerCheck + SEC IAPD

U.S. Bancorp Investments, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, U.S. Bancorp Investments, Inc. ranks #200 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #4 of 42 on the same disclosure sort used on the state browse page. U.S. Bancorp Investments, Inc. carries 29 BrokerCheck disclosures across 54 branch offices - moderate load for a mid-sized firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
54
branch offices
29
disclosures
#200 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 17868 U.S. Bancorp Investments, Inc.

U.S. Bancorp Investments, Inc. · Grade C · 29 disc · 0.54/office · Mid-sized firm

  • CRD 17868
  • GRADE C
  • DISC 29
  • REG 16
  • ARB 13
  • CIV 0
  • BRANCH 54
  • PER-OFF 0.54
  • RANK #200 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Crews & Associates, Inc. (0.53 disc/office)

Crews & Associates, Inc.0.53Brean Capital, LLC0.52Celadon Financial Group…0.50U.S. Bancorp Invest… (this)0.54
Disclosures per office among mid-sized firm peers (lower is cleaner)

U.S. Bancorp Investments, Inc. ranks #200 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.54 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

54 offices

FINRA: Large firm

Total disclosures

29 events

On FINRA BrokerCheck

Regulatory events

16 actions

55% of all disclosures

Disclosures per office

0.54 per office

29 ÷ 54 offices

U.S. Bancorp Investments, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 44% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 16
Arbitrations 13
Civil Events 0
Total 29

Counts for U.S. Bancorp Investments, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 16 Arbitration 13 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Saint Paul, MN, 55107
Formed
02/25/1974
State of Formation
Delaware
CRD Number
17868
SEC Number
35359

Heavy disclosure book

U.S. Bancorp Investments, Inc. in the heavier-disclosure third

U.S. Bancorp Investments, Inc. carries 29 BrokerCheck disclosures across 54 branch offices - a heavier-third raw book among graded firms (#200 of 20,055). Mix is 16 regulatory, 13 arbitration, and 0 civil (55% regulator share).

U.S. Bancorp Investments, Inc. ranks #200 of 20,055 by BrokerCheck disclosure count among graded firms (29 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of U.S. Bancorp Investments, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Minnesota cohort · 2.21× state average

U.S. Bancorp Investments, Inc. sits above the Minnesota disclosure average

U.S. Bancorp Investments, Inc. reports 29 BrokerCheck disclosures, 2.21× the Minnesota average of 13.1 across 42 graded firms with a principal-office state on file.

In Minnesota, 18 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Minnesota state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does U.S. Bancorp Investments, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, U.S. Bancorp Investments, Inc. ranks #200 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #4 of 42 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for U.S. Bancorp Investments, Inc.?
A grade of C reflects U.S. Bancorp Investments, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 29 total disclosures across 54 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does U.S. Bancorp Investments, Inc. have?
U.S. Bancorp Investments, Inc. has 29 total FINRA disclosures, including 16 regulatory events, 13 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is U.S. Bancorp Investments, Inc.?
U.S. Bancorp Investments, Inc. operates 54 branch offices and is classified by FINRA as a large firm, registered in MN (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify U.S. Bancorp Investments, Inc.'s disciplinary record?
You can verify U.S. Bancorp Investments, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17868. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). U.S. Bancorp Investments, Inc.'s 29 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid U.S. Bancorp Investments, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. U.S. Bancorp Investments, Inc. carries 29 disclosures across 54 branch offices (about 0.54 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for U.S. Bancorp Investments, Inc., both outside MN so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Crews & Associates, Inc. (AR) - 0.53 disclosures/office, nearest mid-sized firm peer to U.S. Bancorp Investments, Inc.'s 0.54
  • Brean Capital, LLC (NY) - 0.52 disclosures/office, nearest mid-sized firm peer to U.S. Bancorp Investments, Inc.'s 0.54
  • Celadon Financial Group LLC (NJ) - 0.50 disclosures/office, nearest mid-sized firm peer to U.S. Bancorp Investments, Inc.'s 0.54
  • Firms in MN - state roster that includes U.S. Bancorp Investments, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like U.S. Bancorp Investments, Inc..
  • Reading BrokerCheck Reports - How U.S. Bancorp Investments, Inc.'s 0.54 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to U.S. Bancorp Investments, Inc..
  • Compare firms - put U.S. Bancorp Investments, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.