JD
James H. Dockens
U.S. BANCORP ADVISORS
Puyallup, WA 98373
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CRD#: 2947707
JD
Professional summary
James Howard Dockens, who also goes by Jamie Howard Dockens, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Puyallup, Washington.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 10 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jamie Howard Dockens
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view James Howard Dockens's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Howard Dockens'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
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 222 39th Ave Sw, Puyallup, WA 98373Office #2: 1145 Broadway, Tacoma, WA 98402Office #3: 401 15th St Ne, Auburn, WA 98002Office #4: 15620 Main St, Sumner, WA 98390Office #5: 21125 State Route 410 E, Bonney Lake, WA 98391RIA
BD
CRD#: 14455
Puyallup, WA
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 222 39th Ave Sw, Puyallup, WA 98373Office #2: 1145 Broadway, Tacoma, WA 98402Office #3: 401 15th St Ne, Auburn, WA 98002Office #4: 15620 Main St, Sumner, WA 98390Office #5: 21125 State Route 410 E, Bonney Lake, WA 98391RIA
BD
CRD#: 14455
Puyallup, WA
Past
September 18, 2017 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Auburn, WA
Past
September 18, 2017 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Auburn, WA
Past
November 3, 2015 - June 12, 2017
FULCRUM CAPITAL, LLC
RIA
CRD#: 145322
SEATTLE, WA
Past
October 27, 2011 - November 30, 2015
HARRISDIRECT LLC
RIA
CRD#: 42159
SEATTLE, WA
Past
October 27, 2011 - November 30, 2015
E*TRADE SECURITIES LLC
BD
CRD#: 29106
SEATTLE, WA
Past
January 7, 2010 - October 21, 2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
MUKILTEO, WA
Past
January 7, 2010 - October 21, 2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
MUKILTEO, WA
Past
August 5, 2008 - January 8, 2010
HARRISDIRECT LLC
RIA
CRD#: 42159
ARLINGTON, VA
Past
August 5, 2008 - January 8, 2010
E*TRADE SECURITIES LLC
BD
CRD#: 29106
SEATTLE, WA
Past
October 31, 2005 - March 21, 2007
OSAIC SERVICES, INC.
RIA
CRD#: 133763
EVERETT, WA
Past
October 31, 2005 - March 21, 2007
OSAIC SERVICES, INC.
BD
CRD#: 133763
EVERETT, WA
Past
June 3, 2002 - October 31, 2005
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
EVERETT, WA
Past
May 17, 2002 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
March 2, 1998 - May 30, 2002
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
October 24, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
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 ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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
Alabama(2/13/2026)
RR
Arizona(2/13/2026)
RR
California(2/13/2026)
RR
Maryland(2/13/2026)
RR
Montana(2/13/2026)
RR
Nevada(2/13/2026)
RR
Oklahoma(2/13/2026)
RR
Oregon(2/13/2026)
RR
Utah(2/13/2026)
RR
Washington(2/13/2026)
IAR
Washington(2/13/2026)
RR
Wyoming(2/13/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
800 N Brand Blvd. 16th Floor 16th Floor, Glendale, CA, 91203
Mailing Address
800 N Brand Blvd. 16th Floor, Glendale, CA, 91203
Phone number
(800) 634-1100
Established
Delaware since 06/28/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
244
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 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.
Company Information
U.S. BANCORP ADVISORS, LLC
CRD#: 14455Puyallup, WA 98373TRUST BUT VERIFY
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