HS
Hajime J. Sakiyama
U.S. BANCORP ADVISORS
Tustin, CA 92782
Some features on this profile are disabled
CRD#: 3009522
HS
Professional summary
Hajime James Sakiyama, AIF®, who also goes by Hajime S Sakiyama, Hajime Shu Sakiyama, Hajime Sakiyama, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Tustin, California.
Hajime is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Hajime has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hajime S Sakiyama | Hajime Shu Sakiyama | Hajime Sakiyama
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.
Saints of Glory Church; Not investment related; Garden Grove, CA; Religious Church; Position/Title - Usher; Started in 10/2018; works 32 hrs./mo.; 0 hrs./mo. during trading hours; I collect tithes during service and also disassemble equipment after services.
CRS (Client Relationship Summary) - RIA
Click below to view Hajime James Sakiyama's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hajime James Sakiyama'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®
Experience
Current
July 19, 2012 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 13201 Jamboree Road, Tustin, CA 92782Office #2: 17595 Harvard Ave., Suite G, Irvine, CA 92614Office #3: 5365 Alton Pkwy, Suite P, Irvine, CA 92604Office #4: 11900 Brookhurst Street, Garden Grove, CA 92840RIA
BD
CRD#: 14455
Tustin, CA
Current
July 23, 2012 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 13201 Jamboree Road, Tustin, CA 92782Office #2: 17595 Harvard Ave., Suite G, Irvine, CA 92614Office #3: 5365 Alton Pkwy, Suite P, Irvine, CA 92604Office #4: 11900 Brookhurst Street, Garden Grove, CA 92840RIA
BD
CRD#: 14455
Tustin, CA
Past
August 2, 2011 - July 12, 2012
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
TORRANCE, CA
Past
August 2, 2011 - July 12, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
TORRANCE, CA
Past
January 31, 2011 - August 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TORRANCE, CA
Past
January 31, 2011 - August 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
TORRANCE, CA
Past
October 17, 2006 - February 1, 2011
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
LOS ANGELES, CA
Past
February 13, 2006 - February 1, 2011
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
LOS ANGELES, CA
Past
August 6, 2002 - February 9, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SANTA ANA, CA
Past
July 30, 2002 - February 9, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 18, 2002 - March 5, 2002
INVESTSCAPE INC.
BD
CRD#: 39992
WEST BLOOMFIELD, MI
Past
September 24, 1998 - May 30, 2001
TRADEWAY SECURITIES GROUP, INC.
BD
CRD#: 29794
CARLSBAD, CA
Past
September 8, 1998 - October 9, 1998
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 15, 1998 - July 23, 1998
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
Past
May 15, 1998 - September 15, 1998
WALDRON & CO., INC.
BD
CRD#: 868
IRVINE, CA
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
Arizona(2/8/2019)
RR
Arkansas(8/30/2022)
IAR
California(7/19/2012)
RR
California(7/23/2012)
RR
Florida(12/9/2021)
RR
Hawaii(10/15/2018)
RR
Idaho(4/30/2018)
RR
Illinois(4/30/2018)
RR
Michigan(12/22/2022)
RR
Missouri(8/4/2020)
RR
Nevada(11/10/2015)
RR
New Jersey(9/8/2017)
IAR
New Jersey(9/22/2017)
RR
New York(5/4/2018)
RR
Ohio(1/10/2018)
RR
Rhode Island(3/6/2024)
RR
Texas(10/28/2015)
IAR
Texas(1/21/2021)
RR
Virginia(2/1/2023)
IAR
Washington(7/20/2012)
RR
Washington(7/24/2012)
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.
