MH
Michael K. Hawkes
U.S. BANCORP ADVISORS
Rocklin, CA 95765
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CRD#: 2993230
MH
Professional summary
Michael Ken Hawkes is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Rocklin, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Michael Ken Hawkes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Ken Hawkes'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
January 14, 2016 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 2303 Sunset Blvd, Rocklin, CA 95765Office #2: 221 Estates Dr, Roseville, CA 95678Office #3: 9045 Woodcreek Oaks Blvd, Roseville, CA 95747Office #4: 1850 Douglas Blvd. Ste. 102, Roseville, CA 95661RIA
BD
CRD#: 14455
Rocklin, CA
Current
January 15, 2016 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 2303 Sunset Blvd, Rocklin, CA 95765Office #2: 221 Estates Dr, Roseville, CA 95678Office #3: 9045 Woodcreek Oaks Blvd, Roseville, CA 95747Office #4: 1850 Douglas Blvd. Ste. 102, Roseville, CA 95661RIA
BD
CRD#: 14455
Rocklin, CA
Past
August 30, 2010 - January 25, 2016
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
WOODLAND, CA
Past
August 23, 2010 - January 25, 2016
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
WOODLAND, CA
Past
August 3, 2004 - June 15, 2010
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
ELK GROVE, CA
Past
August 3, 2004 - June 15, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
ELK GROVE, CA
Past
July 22, 2004 - August 3, 2004
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
WOODLAND, CA
Past
June 7, 2001 - August 3, 2004
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
May 2, 2001 - June 16, 2001
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
May 5, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
February 2, 1998 - June 1, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
IAR
California(1/14/2016)
RR
California(1/15/2016)
RR
Florida(9/25/2023)
RR
Hawaii(2/5/2016)
IAR
Hawaii(2/5/2016)
RR
Idaho(10/3/2017)
RR
Nevada(4/10/2018)
RR
New York(9/23/2023)
IAR
New York(10/12/2023)
RR
Oregon(4/27/2017)
IAR
Oregon(4/27/2017)
RR
Virginia(7/28/2023)
RR
Washington(6/15/2022)
RR
West Virginia(10/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
Medium
# of Employees
244
SEC notice filing (51 States and Territories)
FINRA licenses (52 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#: 14455Rocklin, CA 95765TRUST BUT VERIFY
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