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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

John Joseph Moriarty

Advisor at U.S. BANCORP ADVISORS, LLC

LOUISVILLE, KY | Louisville, KY | Jeffersonville, IN | New Albany, IN

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Search this name across graphsid dfx:ria:362f59f0-ba94-9d24-cdd5-5380cc86c35f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Aug 20, 2013 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: U.S. BANCORP ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 20, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 20, 2013
First registration: Aug 20, 2013
Dual registered: yes, broker-dealer
Other names: John J Moriarty
IAPD individual key: 6212857

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Louisville, KY\|New Albany, IN\|Louisville, KY\|LOUISVILLE, KY\|Louisville, KY\|Louisville, KY\|Louisville, KY\|Jeffersonville, IN	Current employment
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Dec 6, 2023	Feb 13, 2026	no	SAINT PAUL, MN\|Jeffersonville, IN\|Louisville, KY\|New Albany, IN\|Louisville, KY\|LOUISVILLE, KY\|Louisville, KY\|Louisville, KY\|Louisville, KY\|Louisville, KY\|Louisville, KY\|Louisville, KY	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 8, 2021	Dec 12, 2023	no	Louisville, KY	Previous registration
WEALTHMD CORPORATION	Independent wealth	May 11, 2021	Jul 20, 2021	no	LOUISVILLE, KY	Previous registration
TLG ADVISORS, INC.	Bd affiliated wealth	Jun 22, 2020	Sep 9, 2020	no	Louisville, KY\|SUMMIT, NJ	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Dec 11, 2018	Jan 2, 2020	no	LOUISVILLE, KY\|LOUISVILLE, KY	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Apr 27, 2017	Dec 5, 2018	no	COLUMBUS, OH	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Dec 2, 2014	Apr 5, 2017	no	LOUISVILLE, KY\|JEFFERSONVILLE, IN	Previous registration
MORGAN STANLEY	Wirehouse	Aug 20, 2013	Nov 17, 2014	no	LOUISVILLE, KY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U.S. BANCORP INVESTMENTS, INC.	U.S. BANCORP ADVISORS, LLC	Feb 13, 2026	Feb 13, 2026	0	Bulk transfer	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	U.S. BANCORP INVESTMENTS, INC.	Dec 12, 2023	Dec 6, 2023	-6	Firm change	Ibd to ibd
WEALTHMD CORPORATION	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 20, 2021	Sep 8, 2021	50	Firm change	RIA to ibd
TLG ADVISORS, INC.	WEALTHMD CORPORATION	Sep 9, 2020	May 11, 2021	244	Firm change	Ibd to RIA
PNC WEALTH MANAGEMENT	TLG ADVISORS, INC.	Jan 2, 2020	Jun 22, 2020	172	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	PNC WEALTH MANAGEMENT	Dec 5, 2018	Dec 11, 2018	6	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	PRUCO SECURITIES, LLC	Apr 5, 2017	Apr 27, 2017	22	Firm change	Other
MORGAN STANLEY	J.P. MORGAN SECURITIES LLC	Nov 17, 2014	Dec 2, 2014	15	Firm change	Wirehouse to wirehouse

Relationships

Registered with (9)

→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Dec 6, 2023 to Feb 13, 2026factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 8, 2021 to Dec 12, 2023factForm ADV
→ WEALTHMD CORPORATIONRegistered adviserregistration: previous registration
May 11, 2021 to Jul 20, 2021factForm ADV
→ TLG ADVISORS, INC.Registered adviserregistration: previous registration
Jun 22, 2020 to Sep 9, 2020factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Dec 11, 2018 to Jan 2, 2020factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Apr 27, 2017 to Dec 5, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Dec 2, 2014 to Apr 5, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 20, 2013 to Nov 17, 2014factForm ADV

Dated events

Occurred
Dec 12, 2023
Advisor changed firm
John Joseph Moriarty left Ameriprise Financial Services, Llc for U.S. Bancorp Investments, Inc. (registered 2023-12-06)
Form ADVobserved 4 days ago