James H. Dockens

U.S. BANCORP INVESTMENTS

Sumner, WA 98390

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CRD#: 2947707

Professional summary

James Howard Dockens, who also goes by Jamie Howard Dockens, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Sumner, 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 9 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Howard Dockens's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Howard Dockens's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 18, 2017 - Present

U.S. BANCORP INVESTMENTS, INC.

Office #1: 15620 Main St, Sumner, WA 98390Office #2: 222 39th Ave Sw, Puyallup, WA 98373Office #3: 401 15th St Ne, Auburn, WA 98002Office #4: 1145 Broadway, Tacoma, WA 98402Office #5: 21125 State Route 410 E, Bonney Lake, WA 98391

RIA

CRD#: 17868

Sumner, WA

Current

September 18, 2017 - Present

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

Sumner, 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

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.

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

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.

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

CRD#: 10249

PHOENIX, AZ

Past

March 2, 1998 - May 30, 2002

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 24, 1997 - March 2, 1998

DAIN RAUSCHER INCORPORATED

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".

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(8/4/2020)

Arizona
(7/9/2018)

California
(7/9/2018)

Maryland
(9/17/2021)

Montana
(11/26/2019)

Nevada
(2/1/2019)

Oklahoma
(6/20/2025)

Oregon
(10/9/2020)

Utah
(6/26/2023)

Washington
(9/18/2017)

IAR

Washington
(9/18/2017)

Wyoming
(1/4/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/12/1997

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/19/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/23/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/19/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A APPENDIX 1 OF FORM ADV (PERSONAL PORTFOLIOS WRAP BROCHURE) (11/14/2025)

PART 2A OF FORM ADV (FINANCIAL PLANNING SERVICES) (9/12/2025)

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	Cover Page	Report
11/21/2023	Cover Page	Report

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.

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James H. Dockens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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

Experience

U.S. BANCORP INVESTMENTS, INC.

FULCRUM CAPITAL, LLC

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

Primary Firm SEC Registration

U.S. BANCORP INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/12/1997

SIE

Date: 10/1/2018

Series 3

Date: 4/19/2010

Series 7

Date: 10/23/1997

Series 24

Date: 11/19/2009

FINRA

Current Firm

U.S. BANCORP INVESTMENTS, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

U.S. BANCORP INVESTMENTS, INC.

TRUST BUT VERIFY

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