RH
Robert J. Hawkins
U.S. BANCORP INVESTMENTS
Seattle, WA 98101
Some features on this profile are disabled
CRD#: 2718419
RH
Professional summary
Robert Jeffrey Hawkins, who also goes by Jeff Hawkins, R Jeffrey Hawkins, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Seattle, Washington.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Hawkins | R Jeffrey Hawkins
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
RENTAL PROPERTY; INVESTMENT RELATED; SEATTLE, WA; RENTAL PROPERTY; OWNER; 02/2013; 0 HRS/MTH; 0 HRS/TRADING; REALTOR MANAGES THE PROPERTY AND THE RELATIONSHIP WITH THE TENANTS.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Jeffrey Hawkins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Jeffrey Hawkins's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 13, 2012 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1420 5th Ave, Seattle, WA 98101Office #2: 4513 Ne Fourth, Renton, WA 98059Office #3: 17604 108th Se, Renton, WA 98055Office #4: 26520 Maple Valley - Black Diamond Rd Se, Maple Valley, WA 98038Office #5: 151 Andover Park E, Seattle, WA 98188Office #6: 1936 Queen Anne Ave N, Seattle, WA 98109Office #7: 858 S Second St, Renton, WA 98057RIA
BD
CRD#: 17868
Seattle, WA
Current
July 13, 2012 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1420 5th Ave, Seattle, WA 98101Office #2: 4513 Ne Fourth, Renton, WA 98059Office #3: 17604 108th Se, Renton, WA 98055Office #4: 26520 Maple Valley - Black Diamond Rd Se, Maple Valley, WA 98038Office #5: 151 Andover Park E, Seattle, WA 98188Office #6: 1936 Queen Anne Ave N, Seattle, WA 98109Office #7: 858 S Second St, Renton, WA 98057RIA
BD
CRD#: 17868
Seattle, WA
Past
October 23, 2009 - July 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SEATTLE, WA
Past
October 23, 2009 - July 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SEATTLE, WA
Past
January 27, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
FEDERAL WAY, WA
Past
January 2, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
FEDERAL WAY, WA
Past
October 12, 2001 - December 31, 2003
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
June 1, 1999 - April 20, 2000
TALBOT FINANCIAL SERVICES, INC.
BD
CRD#: 46345
ALBUQUERQUE, NM
Past
February 15, 1999 - June 1, 1999
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOSTON, MA
Past
May 7, 1997 - January 29, 1999
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
June 19, 1996 - December 2, 1996
SEAFIRST INVESTMENT SERVICES, INC.
BD
CRD#: 17411
SEATTLE, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/16/2012)
RR
California(7/16/2012)
RR
Connecticut(6/13/2025)
RR
Florida(7/16/2012)
RR
Hawaii(5/13/2021)
RR
Idaho(2/23/2023)
RR
Iowa(6/30/2025)
RR
Montana(3/13/2018)
RR
New Jersey(7/16/2025)
RR
New York(6/13/2025)
RR
Oregon(7/16/2012)
RR
Tennessee(11/4/2021)
RR
Texas(8/21/2013)
IAR
Texas(2/12/2025)
RR
Virginia(1/9/2024)
RR
Washington(7/13/2012)
IAR
Washington(7/13/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
