HR
Harold K. Rhee
U.S. BANCORP ADVISORS
TEMPE, AZ 85281
Some features on this profile are disabled
CRD#: 3129563
HR
Professional summary
Harold Kuk Rhee is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Tempe, Arizona.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Harold has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 31, Series 7, Series 53, Series 24, Series 10 and Series 9 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.
Newsletter; not investment-related; located in Walnut Creek, CA; Nature of Business - Newsletter for general public, topics to range from self-improvement to technology tips; Position - Owner; Title - Sole Proprietor; Start Date - 1/8/2025; Hours/mo. devoted to business - 6; Hours/mo. during business hours - 0; Duties - Newsletter Writer and Editor.
CRS (Client Relationship Summary) - RIA
Click below to view Harold Kuk Rhee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harold Kuk Rhee'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 24, 2017 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 1101 W Washington St. 1st Floor, Tempe, AZ, 85281Office #2: 200 Pringle Ave., Suite 200, Walnut Creek, CA 94596Office #3: 304 F St., Davis, CA 95616Office #4: 521 E. Bidwell St., Folsom, CA 95630RIA
BD
CRD#: 14455
TEMPE, AZ
Current
July 24, 2017 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 1101 W Washington St. 1st Floor, Tempe, AZ, 85281Office #2: 200 Pringle Ave., Suite 200, Walnut Creek, CA 94596Office #3: 304 F St., Davis, CA 95616Office #4: 521 E. Bidwell St., Folsom, CA 95630RIA
BD
CRD#: 14455
TEMPE, AZ
Past
May 13, 2013 - June 19, 2017
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
DUBLIN, CA
Past
May 8, 2013 - June 19, 2017
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
DUBLIN, CA
Past
June 1, 2009 - May 1, 2013
MORGAN STANLEY
RIA
CRD#: 149777
SANTA ROSA, CA
Past
June 1, 2009 - May 1, 2013
MORGAN STANLEY
BD
CRD#: 149777
SANTA ROSA, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SAN RAFAEL, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SAN RAFAEL, CA
Past
April 21, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SAN FRANCISCO, CA
Past
October 20, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SAN FRANCISCO, 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
Alabama(8/4/2021)
RR
Alaska(8/4/2021)
RR
Arizona(8/4/2021)
RR
Arkansas(8/4/2021)
RR
California(7/24/2017)
IAR
California(7/24/2017)
RR
Colorado(8/4/2021)
RR
Connecticut(8/4/2021)
RR
Delaware(8/4/2021)
RR
District of Columbia(8/4/2021)
RR
Florida(8/4/2021)
RR
Georgia(8/4/2021)
RR
Hawaii(8/4/2021)
RR
Idaho(8/4/2021)
RR
Illinois(8/4/2021)
RR
Indiana(8/4/2021)
RR
Iowa(8/4/2021)
RR
Kansas(8/4/2021)
RR
Kentucky(8/4/2021)
RR
Louisiana(8/4/2021)
RR
Maine(8/4/2021)
RR
Maryland(8/4/2021)
RR
Massachusetts(8/4/2021)
RR
Michigan(8/4/2021)
RR
Minnesota(8/4/2021)
RR
Mississippi(8/4/2021)
RR
Missouri(8/4/2021)
RR
Montana(8/4/2021)
RR
Nebraska(8/4/2021)
RR
Nevada(8/4/2021)
RR
New Hampshire(8/4/2021)
RR
New Jersey(8/4/2021)
RR
New Mexico(8/4/2021)
RR
New York(8/4/2021)
RR
North Carolina(8/4/2021)
RR
North Dakota(8/4/2021)
RR
Ohio(8/4/2021)
RR
Oklahoma(8/4/2021)
RR
Oregon(8/4/2021)
IAR
Oregon(8/13/2021)
RR
Pennsylvania(8/4/2021)
RR
Rhode Island(8/4/2021)
RR
South Carolina(8/4/2021)
RR
South Dakota(8/4/2021)
RR
Tennessee(8/4/2021)
RR
Texas(8/4/2021)
RR
Utah(8/4/2021)
RR
Vermont(8/4/2021)
RR
Virginia(8/4/2021)
RR
Washington(8/4/2021)
IAR
Washington(8/4/2021)
RR
West Virginia(8/4/2021)
RR
Wisconsin(8/4/2021)
RR
Wyoming(8/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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.
