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Hector Alberto Penalosa

U.s. Bancorp Advisors, LLC

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About Hector Alberto Penalosa

Hector Alberto Penalosa is a financial advisor currently registered with U.S. Bancorp Advisors, LLC. Hector has been in the industry since May 17, 1997. Prior to his current role, Hector has held positions with J.P. Morgan Securities LLC and Securities America, Inc. Hector has Series 6, 7, and 66 licenses as well as SIE. Hector is registered in 18 states for broker-dealer and investment advisor services. The firm's primary business is providing portfolio management services for individuals and businesses.

Firm Information

Hector Penalosa is currently registered with U.s. Bancorp Advisors, LLC. U.S. Bancorp Advisors, LLC, is a Limited Liability Company registered with the SEC and in all 50 states, as well as the Virgin Islands. Formed in 2004, the firm provides portfolio management services for individuals, businesses, and investment companies, and offers a wrap fee program. They also assist clients with the selection of other advisors. The firm currently manages over $1.38 billion in regulatory assets under management.
U.s. Bancorp Advisors, LLC

800 N. BRAND BOULEVARD

GLENDALE, CA 91203

$1.39B

Assets Under Management

Not reported

Total Clients

171

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Hector Penalosa’s Registration & Firm History

CA

03/10/2022 - Present

U.s. Bancorp Advisors, LLC (CORONADO CA)

CA

03/13/2013 - 01/03/2018

J.P. MORGAN SECURITIES LLC (CHULA VISTA CA)

CA

01/14/2010 - 03/05/2013

SECURITIES AMERICA, INC. (SAN DIEGO CA)

CA

02/25/1997 - 11/04/2009

PACIFIC SELECT DISTRIBUTORS, INC. (NEWPORT BEACH CA)

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Licenses & Designations

BOTH

Issued 06/12/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/24/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/07/2012

Series 7 - General Securities Representative Examination

BC

Issued 02/24/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Hector Alberto Penalosa.
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