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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

Michael Craig Forgea

Advisor at U.S. BANCORP ADVISORS, LLC

Santa Barbara, CA

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Search this name across graphsid dfx:ria:8863b53f-4295-b0e5-2ac3-d88a276f0786

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 27, 1997 to Sep 14, 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: May 11, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 11, 1983
First registration: Oct 27, 1997
Dual registered: yes, broker-dealer
Other names: Mike Forgea
IAPD individual key: 1123350

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	Santa Barbara, CA	Current employment
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Jun 16, 2023	Feb 13, 2026	no	San Francisco, CA\|Sacramento, CA\|Pleasanton, CA\|Los Angeles, CA\|Santa Barbara, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Mar 20, 2013	Jun 20, 2023	no	SANTA BARBARA, CA\|SANTA BARBARA, CA\|Palm Desert, CA\|Walnut Creek, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 29, 2005	Jan 17, 2012	no	SANTA BARBARA, CA\|SANTA BARBARA, CA	Previous registration
UBS ASSET MANAGEMENT (US) INC.	n/a	Sep 9, 2002	Jul 20, 2005	no	BEVERLY HILLS, CA	Previous registration
J. & W. SELIGMAN & CO. INCORPORATED	n/a	Oct 27, 1997	May 14, 2002	no	NEW YORK, NY	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
U.S. BANCORP ADVISORS, LLC	U.S. BANCORP INVESTMENTS, INC.	Jun 20, 2023	Jun 16, 2023	-4	Firm change	Ibd to ibd
UBS FINANCIAL SERVICES INC.	U.S. BANCORP ADVISORS, LLC	Jan 17, 2012	Mar 20, 2013	428	Firm change after gap	Other
UBS ASSET MANAGEMENT (US) INC.	UBS FINANCIAL SERVICES INC.	Jul 20, 2005	Jul 29, 2005	9	Firm change	Other
J. & W. SELIGMAN & CO. INCORPORATED	UBS ASSET MANAGEMENT (US) INC.	May 14, 2002	Sep 9, 2002	118	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
14455:17868:CA:2023-05-31	Jun 20, 2023	Jun 16, 2023	WALNUT CREEK, CA	Firm change

Relationships

Registered with (5)

→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 20, 2013 to Jun 20, 2023factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 16, 2023 to Feb 13, 2026factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 29, 2005 to Jan 17, 2012factForm ADV
→ UBS ASSET MANAGEMENT (US) INC.Registered adviserregistration: previous registration
Sep 9, 2002 to Jul 20, 2005factForm ADV
→ J. & W. SELIGMAN & CO. INCORPORATEDRegistered adviserregistration: previous registration
Oct 27, 1997 to May 14, 2002factForm ADV

Dated events

Occurred
Jun 20, 2023
Advisor changed firm
Michael Craig Forgea left U.S. Bancorp Advisors, Llc for U.S. Bancorp Investments, Inc. (registered 2023-06-16)
Form ADVobserved 6 days ago